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JD Cumpson Comment On Regulatory Notice 21-19

As a self-regulatory conglomerate it is beyond the reasoning of a "retail" investor as to why such ordinances do not already exist. The SEC itself has proclaimed naked-short selling to be a well established predatory and dangerous practice that undermines the free-market operations of millions of non-institutional investors who cannot play by the same rules. In addition to the regulatory capture here, it should be seen as important for FINRA to also enforce penalties in accordance to the scale of their misdoings.

Sean B Comment On Regulatory Notice 21-19

I am encouraged that you are considering changes on the subjects of Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting. These changes are will open the way to fair market operations. In the current environment the technology and information for market operations is far superior compared to what is available to regulators and ultimately the public. That tech is being abused in an aggressive manner which is in turn creating blind risks for the investing public.

Anonymous-TO Comment On Regulatory Notice 21-19

I am in favor of these proposed rule changes. Specifically the disclosing of synthetic positions. It is vital that this information be made available to combat predatory trading practices. Practices that artificially destroy businesses and lives. If we cannot eliminate the loophole that allows for synthetic naked shorting, getting as much information made public is the next best thing. Perhaps it can save many businesses from closing and jobs from disappearing.

Kevin Moran Comment On Regulatory Notice 21-19

Hello FINRA, I saw you are looking for comments on 21-19, regarding short positions. As I see it, the current US market is full of fraud, with the regulatory agencies being complicit. They are complicit through their complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehana being allowed to happen with impunity. The SEC and FINRA have known about this illegal counterfeiting practice for many years, with nothing being done to rectify the illegality of the market conditions. Naked shorting is illegal.

Aaron Comment On Regulatory Notice 21-19

Short interest reporting by all of these entities should have complete transparency. Failures to report on possible FTD’s, never delivering those shares or marking short positions as long should result in repercussions equal to the actions. Small fines or as they can be referred “the cost of doing business” for some of these funds or entities are unacceptable. Reporting should be even more frequent as streamline the process of collecting accurate data.

Lindsay Meeks Comment On Regulatory Notice 21-19

My concern with shorting a stock is the impact that action has on the company. By shorting 100% of a company's stock (or more!), the stock may drop to a low enough price that the company can't survive regardless of the underlying value. I would suggest a cap on the percentage of a company's outstanding shares that can be shorted, say 60%. This would allow the investor the ability to short while not driving the company out of business by doing so.

2019060749103 Matthew G. Zanowiak CRD 1142281 AWC va (2021-1625703636031).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060749103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew G. Zanowiak (Respondent) Investment Company and Variable Contracts Products Representative, Investment Company Products/Variable Contracts Principal, and Direct Participation Programs Representative CRD No. 1142281 Pursuant to FINRA Rule 9216, Respondent Matthew G.

2020065292102 Elizabeth Ann Sollars CRD 6606776 Complaint va (2021-1625703635614).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Elizabeth Ann Sollars (CRD No. 6606776), Respondent. DISCIPLINARY PROCEEDING No. 2020065292102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In connection with FINRA's investigation into allegations that she misappropriated insurance customer premium payments, Respondent Elizabeth Ann Sollars