The FINRA Board of Governors will consider the following rulemaking items at its September 2012 meeting.
We need the rules to actually be enforced and market makers not able to use dark pools for anything other than non-predatory market making functions. Transparency and accountability are really the primary thing. Selling order books that show liquidation prices of individual investors is insider trading. Check every single futures chart and you will find impulse retracing liquidating people at
Good afternoon, I am not very educated in the stock market and rules governing the actions of parties. However, I know that Naked Shorting is likely illegal and it seems that this has been happening with this merger between MMAT and Torchlight (TRCH). It's also unfair that so much shorting activity can be done secretively. There should be requirements for cooperations shorting to declare
I like what you are talking about here daily transparency on fails to deliver, synthetic short positions, married naked options contracts. Transparency on where the borrowed shares are coming from, verification of shares only being borrowed one time by firms that are borrowing out shares, verification that shares being borrowed are coming from proper sources not being borrowed from clients with
There are no rules. Why even have all of this? Naked shorting continues, dark pool trading is out of control. EVERYTHING is set up for the institutions and the super rich to get richer, and the retail investor to be left holding a bag. The institutions are allowed to continue to gamble recklessly and get bailed out when it doesn’t go their way. There needs to be real change in the system to be
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
Year 2000 Program Addresses Challenges Faced By Automated Systems
Members Be Advised: The year 2000 will be upon us in less than two and a half years, and, to be ready, all National Association of Securities Dealers, Inc. (NASD®) member firms must take action now to ensure that their automated systems will continue to operate successfully. The NASD has instituted a Year 2000 (Y2K) Program to
On July 30, 2007, NASD and the New York Stock Exchange (NYSE) consolidated their member regulation operations.
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
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Executive Summary
Through this Notice, NASD Regulation, Inc., is announcing that the electronic version of the NASD Manual is now accessible on the NASD RegulationSM Web Site (www.nasdr.com). With the advent of Internet availability, the
