SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning
Dear FINRA, First, let me introduce myself. I am Nathan Ayotte, and I am an individual investor with personal goals of acquiring a large average annual compound rate of return each year. Personally, I have been investing in a particular triple-leveraged ETF fund based on the Nasdaq-100 (Ticker: TQQQ) for 4 years, provided by an asset management company called ProShares. The fund is a fantastic,
We need more transparency in the market. Shorts need to reveal their shorts position, the FTD (failure to deliver) and naked shorts are making the market a place where it feel the system is ridge in favor of the 1% and against the retail investor.
Short reporting needs to be real-time, or End Of Day. The ability to Naked Short should not be allowed at any point. The people or entities shorting companies into bankruptcy should be prosecuted for doing so when illegal processes are used.
I am in favor for an increase in short interest reporting regulation. More notably in adopting new regulations to have synthetic short positions reported to FINRA. Also short interest reporting should be increased from twice a month to daily and the dissemination should go down from 7 days to 2 days. I'm also in agreement to the purposed FTD changes, actually have any and all FTD settled in
All reports should be consolidated for all markets in one location where it is easily accessible to all investors. FTDs should be reported daily and should be required to be cleared within a a T3 timeline without exception. Short positions and changes to those positions should be reported daily and that information should be made available to all investors no later than the next business day
Learn how to amend a Form U4 filing to complete the RSL Question by watching this short (2:04 minutes) video.
Yes, please impose mandatory reporting on short sale positions in real time. The short sellers have real time data of the shorts sold, that information should be public and current. There is no free market without a transparent market.
FINRA's proposed strangulation is equivalent to banning short sales. Martin Armstrong adamantly defends short sellers because it is they (us) who buy when panic selling has taken over. The proposed controls of levered ETFs/ETNs protect the markets by providing access to retail investors to short selling and without margin entanglements.
Hello i would just like to comment on how unfair it is to individual investors that market makers and hedge funds can route trades through the dark pools as they see fit with no oversight. I would suggest that you eliminate dark pools and make the fines greater than the profit hedge made from the illegal the illegal trading activity. Jail time is needed for market manipulation and short positions
