OTCE Equities Notifications
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 29, 2019 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading in
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EXECUTIVE SUMMARY
The SEC has approved an amendment to the definition of qualified independent underwriter
As it stands, I see no reason why any of the bad actors will accurately mark or report their positions. Even with a condensed reporting timeline, there is no vehicle for FINRA to keep track of mismarked/illegal/synthetic/etc. short positions. Recommend that stocks released by companies should have tracking numbers so that short positions shall be required to have a one for one trace via tracking
I agree with everything there 100% needs to be more transparency in the stock market. I believe reporting should be done daily so that it will be harder for someone to try and hide or fake their positions since they won't have time. With all the money they make and High Frequency Trading these firms do they have no reason to say reporting daily is too hard or impossible. I also recommend
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 22, 1986
The National Association of Securities Dealers, Inc. (NASD), has approved proposed amendments to Schedule E to the NASD By-Laws that are intended to clarify the scope and application of the schedule. Schedule E contains various requirements applicable to the public offering of a member's securities or
The way the stock market is set up for the larger entities to easily outweigh performance of the average retail trader is completely absurd. With stocks that are being massively shorted, much like Tesla (TSLA) was back a few years ago, and other stocks now like Gamestop (GME), AMC Theater (AMC) , Nokia (NOK) and many more, it allows such a distrust in the system for who can make money FAIRLY. If
Hello, as a person who’s new to investing with only 6-7months experience I have seen clearly that the market for small time investors is unfair based on everything I have educated myself during my time investing. What one of the biggest issues I’ve seen is rules broken time and time again by institutions who receive fines that mean absolutely nothing and are paid with ease while the retail
REQUEST FOR COMMENT
Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
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Executive Summary
NASD is issuing this Notice to Members to solicit
It is commonly understood that for every transaction the terms of the exchange is known by both parties and executed faithfully to produce what we consider the stock market. Technology now allows for near instant transactions for market participants, therefore the due diligence of reporting that transaction to regulatory authorities should occur simultaneously with the transaction itself. This
