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Anthony Comment On Regulatory Notice 21-19

Down with the shorters

Rhonda K Kriesel Comment On Regulatory Notice 21-19

I am new to investing as a retail investor, but one thing that has been clearly revealed is the lack monitoring and action taken on the hedge funds and other entities when shorting stocks/companies. That the SEC doesn't do anything to stop the naked short selling occurring in the market reflects that the only people allowed to make money in this market are the ones who get away with it given those who are supposed to monitor illegal activities do nothing.

John Antunes Comment On Regulatory Notice 21-19

Any trades in the dark pools need to be reported within 24 hours. Naked shorting can be resolved by strict enforcement, illegal use of super computers, and brokerage licenses revocation not monetary fines.

2021070337401 Kishan Parikh CRD 5506554 OHO Decision va (2021-1628382016655).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Kishan Parikh (CRD No. 5506554), Respondent. Disciplinary Proceeding No. 2021070337401 Hearing Officer-DDM DEFAULT DECISION July 7, 2021 Respondent Kishan Parikh engaged in excessive trading and unauthorized trading. For excessive trading, he is suspended for 18 months in all capacities and fined $5,000. For the unauthorized trading, he is suspended for

2021070962701 Ronald J. Giovino, Jr. CRD 2236071 AWC va (2021-1628382016450).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070962701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald J. Giovino, Jr. (Respondent) Investment Company Products/Variable Contracts Principal (IP) Investment Company Products and Variable Contracts Products Representative CRD No. 2236071 Pursuant to FINRA Rule 9216, Respondent Ronald J. Giovino, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Victor Martinez Comment On Regulatory Notice 21-19

1. All shorts shall be reported to FINRA by end of each settlement day. 2. All unused loaned shares shall be reported to FINRA by end of the settlement day. 3. FINRA shall make public the outstanding unused loaned share(s) by end of the settlement day of a trading week. 4. All threshold securities sho regulation shall be reported daily with a full accounting of fail to deliver end by end of settlement day. 5. FINRA shall enforce FTD purchase upon noncompliance within 2 settlement days.

Nik Comment On Regulatory Notice 21-19

I believe individual investors should have total transparency on all short positions including naked positions. Total transparency will allow more of a free market and allow individuals to make better investment decisions.

Josiah Anderson Comment On Regulatory Notice 21-19

It's good you are trying to get them to be more transparent, but what's going to stop them from doing all this illegal activity still? You need larger penalties and fines and somebody who will enforce the rules in a timely manner, otherwise this ruling will do nothing. Please add harsher penalties and fines and somebody who will enforce them in a timely manner.

Aaron Borg Comment On Regulatory Notice 21-19

Please approve 21-19. I believe all data fields should be publicly available, not just for internal use. We need more transparency in the market and this will help.

Anthony Vella Comment On Regulatory Notice 21-19

I would like to know when a stock has more volume for inflow compared to outflow, how does the share price still keep going down? Additionally, When a stock has a "ladder attack" to it, where is the SEC to step in and stop any manipulation? It is not understandable that a hedge fund company can use naked shorts, which everyone knows exists, yet nothing it done to combat the practice.

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