These rules changes seem to be helpful except for the "alternatively" found all over the place. Make all these rules in effect, no alternatives. FINRA should get all the information possible about any financial activity and make as much as possible of that information public. The originator of a short position should be on the hook for the short position. Currently, if a market maker
The Anti-Money Laundering, Fraud and Sanctions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Since so many naked shorts are linked with FTDs, why don't you enforce the current rules regarding FTDs? Hedgefunds and Market Makers are currently "kicking the can" down the road and hiding Naked Shorts. I have seen estimations of FTDs that total into the $TRILLIONS of dollars and FINRA & the SEC are going to be complicit in the coming recession/depression caused by
As a retail investor, I would like to even the playing field with institutional investors by allowing us the same access to information that they have, especially regarding short positions. Also, in addition to that, I would like short positions to have to be reported daily by no later than 30min after closing bell. This is MORE than enough time for them to calculate their total shorts taken that
All short positions should be reported including synthetics (why does that even exist). Every share should have a unique identifier that can’t be lent out multiple times (like we used to have with physical paper). Maybe we could have a free capitalist economy if competition was allowed and the best companies perform the best. A company shouldn’t be shorted and driven to bankruptcy because someone
Reporting partial short interests does nothing but mask the trickery of hedgies. A good rule change for FINRA would be to report from ALL exchanges both lit and unlit. Get rid of T + 2. Provide exact real time interest charges. Hopefully the SEC would ban naked short covering with options or ban naked shorts entirely. Basically level the playing field between Wall Street and retailers. If we can’
First, any organization or entity should have five times the amount of collateral to support a short position. Dark pools where synthetic shares are utilized to manipulate market share price to falsely depict covering of shorts should be deemed illegal and regulations should be placed to cease and detect. If an entity fails to deliver on a short position, their position should be liquidated and
Stop all shorting. Stop ALL insider trading make it a minimum 100K dollar fine.
Then the rest of us would be ok if the wallstreet people weren't allowed to short.
I think leveraged ETFs should be eliminated. However, I think 1x inverse ETFs are fine. That is just shorting and I think 1x long or 1x short should both be allowed.
In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
