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
Firm Also Failed to Maintain Supervisory System, Report Customer Complaints
WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
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
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern
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This Notice reminds members of the Securities and Exchange Commission’s (SEC’s) adoption of a best interest standard of conduct for broker-dealers and a relationship summary (Form CRS) delivery obligation, and provides an SEC email address where members may submit questions about the new requirements. As more fully described below, the SEC encourages firms to actively engage with SEC
TO: All NASD Members and Other Interested Persons
SUMMARY
The NASD Board of Governors believes it is necessary to clarify its policy with respect to trading in stock and index options by members or persons associated with a member while in possession of material, non-public market information concerning imminent transactions of block size. Under certain circumstances, this type of activity,
IMPORTANT MAIL VOTE
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TO: All NASD Members and Other Interested Persons
LAST VOTING DATE IS MAY 23, 1986
Members of the National Association of Securities Dealers, Inc. (NASD), are invited to vote on a proposed amendment to Article III, Section 21 of the NASD Rules of Fair Practice. The proposed amendment has been approved by the NASD Board of Governors and now
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
