When will you people do your jobs big hedges like citadel have been manipulating stocks since the 90’s why is this still being aloud? They didn’t get this big buy playing buy the rules. Do you people even watch the tickets? If you did you would see it. So obviously being manipulated. Explain to me how one company can have stellar news and stock moves down and stocks with no news or bad news
There needs to be much more clarity, no self reporting, frequent third party analysis, bigger punishmemts for rule breakers. If a HF/MM can earn more than they are fined then its a business cost, they need to be fined double the profit plus face criminal proceedings. As a UK investor, i have everything in the US markets, after the manipulation of Gamestop i have no faith what so ever, even China
The Neutral Corner Volume 4 - 2017
Mission Statement
Year End Message
Seven Steps to a Successful Telephonic Mediation (Christopher Kauders, FINRA Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Hurricane Maria Update: Guidance for Cases Venued in Puerto Rico
Demographic Survey—Thank You
NYCLA Program: 19th Annual FINRA
TO: All NASD Members
There appears to be a growing practice among member firms to offer their retail customers a service whereby debit balances created by the purchase of securities in the customer's cash account with the member will be automatically satisfied by the redemption of shares of a money market fund. This practice is distinguishable from what have been called "account
I cannot believe how deep this corruption runs. Honestly, at this point id be hopeful that any number of these committees would do something to level the playong feild here. However judging by lack of action, i have come to one of two conclusions. You're either all corrupt and working together to rob the american public. The people who keep this coubtry running. The people you all considered
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On July 15, 1991, the SEC approved an NASD rule change to provide three clarifications to the Resolution of the Board of Governors — Notice to Membership and Press of Suspensions, Expulsions, Revocations, and Monetary
(a) For purposes of this Rule, the term "security future" shall have the definition specified in Section 3(a)(55) of the Exchange Act.
(b) Requirements
(1) General
(A) Applicability — This Rule shall be applicable to the trading of security futures.
(B) Subparagraph (15) shall apply only to security futures carried in securities accounts
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
(a) Responsibility to Expedite Customer's Request
(1) When a customer whose securities account is carried by a member (the "carrying member") wishes to transfer securities account assets, in whole or in specifically designated part, to another member (the "receiving member") and gives authorized instructions to the receiving member, both members must expedite
You want the people to trust the government and believe that they have the peoples best interest, then do something about all the illegal stuff Wallstreet and hedge funds do. Stop the massive amounts of shorts they have. Stop them from shorting a company out of business. Do something about all the FTD'S. Really Stop the short ladder attacks that they use to deliberately drive the price down
