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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
(1) Lately I have seen time after time (failure to delivers) FTDS hit outrageous and unprecedented numbers SEC has fined market makers in some instances fractional fines of a percent to continue doing business. If this kind of activity is allowed, can I turn do the same? I would be more than glad to do the same if their's no disciplinary actions against this. (2) Naked shorting is illegal.
Transparency, accountability and a fair market for all investors. This is what retail investors want. -Frequency in reporting should absolutely be on a daily basis. This should be public information. Not a “pay to play” basis. Companies who profit from hiding this information and selling it, only add to the unfair market advantage faced by retail traders. They will need to adjust their profit
Registration Fee Changes
Registration fees have changed recently in the following jurisdictions: Utah, the Chicago Board of Options Exchange, North Dakota, and Nebraska. These registration fees are processed through the Central Registration Depository (CRDSM) and the changes went into effect on July 1, 1999.
Utah
Fee Description
New Amount
• UT Individual Registration Fee
$45.00
• UT Transfer
SUGGESTED ROUTING*
Corporate Finance
Legal & Compliance
Operations
Research
*These are suggested departments only. Others may be appropriate for your firm.
As of October 18, 1988, the following 48 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2
Effective December 31, 2007, new NASD Rule 1160 (Contact Information Requirements) streamlines the review and verification of contact information and eliminates the requirement that member firms review and update certain designated contact information on a quarterly basis. The new rule requires firms to update designated contact information promptly upon any material change, verify such information annually and comply promptly with any request for such information.
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
(a) Definitions
For purposes of this Rule and any interpretation thereof:
(1) "Communications" consist of correspondence, retail communications and institutional communications.
(2) "Correspondence" means any written (including electronic) communication that is distributed or made available to 25 or fewer retail investors within any 30 calendar-day period.
(3) "