(a) Quid Pro Quo Allocations
No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.
(b) Spinning
(1) No member or person associated with a member may allocate shares of a new issue to any account in which
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Gifts and Business Entertainment
Comment Period Expires February 23, 2006
The comment period has been extended to March 3, 2006
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Rule 3060
Executive Summary
NASD is proposing
FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
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Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds
Comment Period Expires March 12, 2004
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NASD formed the Mutual Fund Task Force (“Task Force”) in May 2004 to consider ways to improve the transparency of mutual fund portfolio transaction costs and distribution arrangements. The Task Force was established after discussions between the Securities and Exchange Commission (“SEC”) and NASD staffs, to provide guidance to the SEC as it considers the issues raised in a concept release
To whom it may concern, I feel that things could go better if rules which are passed are enforced. Shorts and naked shorts should be closed and not covered because they(hedge funds with short positions) just use illegal ways for covering. Using the rules to over manipulate a stock (AMC, GME) isn't fair market and harsher punishment should be the consequences. Jail time, fines which start in
What I have witnessed over the past year or so that is going on with stock $GME and $AMC is on a whole different scale. I was new to trading until I got involved signing up with RobinHood earlier in 2020. During that time I wanted to buy in to $GME and was blocked from doing so "for my own protection." essentially missing out on hundreds of dollars or more. I have seen unknown entities
I'm a retail investor from Sweden who's been an investor in AMC since January 2021. AMC is the owner of Sweden's largest cinema chain (Filmstaden) and I found it important to try and help a struggling company to survive. Little did I know that short sellers with seemingly endless liquidity tried the exact opposite: to bankrupt the company through short selling and driving down the
Notice to Arbitrators and Parties on Expanded Expungement Guidance
