Displaying 5891 - 5900 of 9026 Results
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Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of Governors under
Summary
The NSCC1 administers ACATS, a system that automates and imposes specified duties and performance timeframes to facilitate the transfer of accounts, in whole or in part, from one firm to another. The NSCC recently announced a change to ACATS that will allow a receiving member (the firm slated to receive the customer’s account) to use the “receiver delete” function to remove alternative
I can’t believe how non transparent Wall Street is. Institutional Investors have it all in their favour. Retail Investors have nothing. It’s a corrupt system. Nothing was learned by 2008. Dark pools should either be visible or outlawed. Synthetic share are a no but so clearly used but nothing is done to regulate. FTD’s are placed on the threshold security list for 13 days but then nothing happens
I tried to purchase AMC stock in January, I was denied and frozen by Robinhood. I put in the money and tried to purchace below 10$, they refuse to execute my order...then wouldn't let me cancel it. They finally filled it after it hit the high around 18$ I have screenshot and email. Then, all of my friends were limited to buying power of a few shares a day! The economic impact is drastic as
Hello my comment is really quite simple I’m a new investor trying to break the cycle of poverty in my family with that being said as little as I know i have seen the blatant manipulation and illegal actions by billionaire companies only be handed a fine for breaking the law and completely manipulating a system that should be for everyone not just the 1 percent who has molded the stock market to
I have held stock in both GME and AMC since January. I watched as the GME stock was manipulated by several Brokers when they all removed/limited retail investors ability to purchase stock but allowed selling. This resulted in a " Flash Crash" of GME price. Since then we have watched Companies use shorts/naked shorts to manipulate the price of both AMC and GME. There seems to be a
The problem is not the rules... Rules are there already and you know as well as everyone else that the issue is that the rules are for thee and not for me. Enforce the rules that are on the books and stop not only the naked short selling but also the political hacks working for your agency and all throughout the financial industry regulatory authorities. Tell me... How much again did Pelosi make
Some of the key responsibilities of an SAA are to ensure that access is appropriate and required as well as remove access for users who no longer need it—either because of changes in job duties or termination with the firm.
Gross Income Assessment, Personnel Assessment, and Regulatory Fee
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Senior Management
Gross Income Assessment
NASD By-Laws
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Executive Summary
NASD is issuing this Notice to Members to inform members that NASD's Board of Governors has approved proposed changes to NASD's Gross Income Assessment (GIA
Summary
FINRA is issuing this Notice to restate and supplement prior guidance regarding the circumstances under which a firm or individual may influence the outcome of an investigation by demonstrating extraordinary cooperation. This Notice incorporates FINRA’s prior guidance and provides clarification and additional information about how FINRA assesses whether a potential respondent’s