Meet Gene, a NASDAQ Market Maker Message Board

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Non-Tech : Meet Gene, a NASDAQ Market Maker

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To: DizzyG who started this subject	7/27/2000 11:36:18 PM
From: gene_the_mm	Read Replies (4) of 1426

LATE NIGHT FOLKS... Sorry, but it is going to happen. I will try to answer ALL questions over the weekend. Let me fill you in on some ground rules though. I put a call into the NASD's market regulation department based on some posters comments. They brought up some good points as to what a registered representative (all MM's are registered reps - aka Series 7, Series 63 and some with Series 24) can and cannot talk about in a public forum. Therefore, for one, I have been told that talking about specific securities and even my opinions might be considered a 'grey area'. Anything GREY, I won't venture into. Another area they mentioned that was no-no was talking about specific firms and their particular styles and tactics. With that in mind I will from this point forward avoid any questions along those lines. Please keep your questions abiding by these guidelines and not about specific stocks any more. I have talked with several people and speaking about market specifics, trading tactics (general), and laws and rules are all OK provided that I preface what I know with it being only MY OPINION. I will again state my DISCLAIMER that I do not know all the answers, and that anything I do post here should never be taken as the FINAL WORD. OK? Everyone clear? It means you should STILL do your own research on aspects of market regulation and compliance. Regarding my credibility, you can take it or leave it. I post here because I enjoy teaching, nothing more and nothing less. If you think I am bogus I suggest you read no further as your mind is already made up. I am not here to convince people about who I am, but rather, enlighten people as to what REALLY happens and goes on in the NASDAQ market. Thank you all for the warm welcome and kind words. Wishing you all profits, -- Gene

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