Displaying 6191 - 6200 of 9026 Results
Washington, DC — The Association for Financial Counseling and Planning Education (AFCPE) today is launching a unique financial training program for professionals who counsel married or divorcing couples, a program funded by the FINRA Investor Education Foundation.Formerly known as the NASD Investor Education Foundation, the FINRA Investor Education Foundation was established in 2003 and is the
SUGGESTED ROUTING*
MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On March 7, 1989, the United States District Court for the Eastern District of New York appointed a SIPC Trustee for:
Investors Center, Inc.110 Ricefield LaneHauppauge, NY 11788
Members may use the "immediate close-out" procedures provided for in Section 59(i)
Frequently asked questions about private placements.
Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
We should get fair reporting real time on the buys and sells as they are placed in the market. Brokers and market makers make billions every year by payment for order flow and parking orders. They spent millions to get faster fiber optic cables for those fractions of a second faster receiving of the data as Knowledge is and forever will be power. Why is there a t plus 2 or some reports only send
TO: All NASD Members and Level 2 and Level 3 Subscribers
Three additional securities will join the NASDAQ National Market System on Tuesday, November 13, 1984. These three securities have met the NASDAQ/NMS mandatory designation requirements as of the end of the third quarter and, as required by SEC Rule HAa2-l, automatically are added to NASDAQ/NMS within 45 days of the quarter ending date.
The
While it's nice to see this request from retail investors, good intentions pave roads to nowhere. What is initially needed: - enforcement of existing rules to stop naked shorting - enforcement of existing rules to stop FTDs - enforcement of existing rules to stop dark pool selling of retail orders - enforcement of existing rules to stop labeling shorts as "exempt" from SSR Once the
Hi I believe that short selling of any kind is bad, while showing more data is a positive step. Shorting still has too much scope for bad practice. There’s a conflict of interests as soon as a party shorts a company. Too many of the main players in today’s market have ties in all areas of the market. Allowing them to manipulate and drive theses companies further down to there benefit. I could
To whom it may concern, I would like to voice my concerns regarding the following: Naked short selling High frequency trading algorithms Payment for order flow Dark pools Over the course of 2021, meme stocks have made quite a splash in financial markets and exposed what would constitute fraud for the average person, but turns into "savvy investing" for financial institutions. The