Displaying 6311 - 6320 of 9026 Results
information needs to be accurately and timely reported-- period. That information is lagging is a joke-- that people charge to provide this lagging information is shameful. There should be no platform one has over another. That there is-- is evidence money buys influence -- this is a country of laws.. unless it is in the financial world. The markets are a free for all for those that control,
FINRA’s Board of Governors held its fifth and final meeting of the year on December 6-7. During the meeting, the Board approved two rule proposals and FINRA’s 2024 proposed budget , and continued discussions around FINRA’s financials, including expenses and the drawdown of reserves. The Board also appointed new members to the National Adjudicatory Council (NAC) and the Small Firm Advisory Committee (SFAC), and previewed the 2024 FINRA Annual Regulatory Oversight Report.
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET.
B&D CAPITAL PARTNERS, LLC211 EAST BLVD., CHARLOTTE, NC 28203-4719B. C. ZIEGLER AND COMPANYONE NORTH WACKER DRIVE, SUITE 2000, CHICAGO, IL 60606B. RILEY SECURITIES, INC.11100 SANTA MONICA BLVD, SUITE 800, LOS ANGELES, CA 90025B. RILEY WEALTH MANAGEMENT40 SOUTH MAIN, SUITE 1800, MEMPHIS, TN 38103B.B. GRAHAM & COMPANY, INC.1700 W. KATELLA AVE., ORANGE, CA 92867BA SECURITIES, LLCFOUR
Audria Pendergrass Lee leads FINRA’s strategic diversity & inclusion, workforce compliance and talent acquisition efforts for more than 3,500 employees across 16 offices. Since joining FINRA in 2009, Ms. Pendergrass Lee has established FINRA as a benchmark organization for diversity and inclusion in the financial services space and spearheaded the strategic deployment of resources that
SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and option contracts in NMS securities.View Data About the DataData Glossary & User GuideNMS Equity and Options Routing Reports (SEC 606(a) Reports) Data
Let me begin by stating I believe the apparent inability to administer existent provisions regarding shorting and naked shorting demonstrates a gaping hole in the system. FINRA and all related regulatory bodies have ignored the scams played by the hedge funds in hiding their activities as well as permitting a hedge fund to be the major market maker in a security they intend to pummel and drive
The market rules need an overhaul. Penalties for failure to return shares should be steeper base on how much you're shorting. If someone shorting a stock for 100k, a ten thousand dollars fine seems reasonable. But if I'm shorting the stock by millions or billions they shouldn't be paying 10k for breaking the rules.. matter of fact they should not be breaking the rules in the first
I got into WBSI for 5.15 on 02/04/2021. 20 shares. It went to $10 feb 8th. It dropped to $2.00 over the next couple months. There was supposed to be a merger/name change which took place but during this time stock dropped to .35 low. The volume for this stock is weird that it has no volume for days at a time sometimes. But let it be the 15th or end of month and there will be volume. Anyway, there
With all due respect "reporting" is a small part of the shorting problem. While I support more immediate reporting requirements, the issue is naked shorting, mislabeling of shorts (as longs), and other shorting malfeasance being used by market makers (i.e. Citadel and Virtu) to manipulate market prices and destroy market integrity. Fines are also the biggest joke. Citadel has been fined