Have all short sales be reported to finra by end of each settlement day. Make public and report the day to day short sale by end of settlement day or the trading week. Have unused loaned shares reported to finra by end of settlement day. Make public the outstanding unused loaned share by end of settlement day of a trading week. Make all threshold securities regulation reported daily with full
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 5, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to Article III, Sections 21(b) and 41 of the NASD Rules of Fair Practice. The NASD Board of Governors has reviewed the applicablity of recent regulation of short-sale practices by NASD members to various types of
I gained over $1000 on my DIS today. It will cost me $274 to protect 100 sh (about 1/4) of my position with a put option for next week. That's costly.
FINRA should advocate my right to buy & sell options on a fractional basis. At a cost of $2.74 a sh I should be able to buy a fractional put for as many shares as I can afford.
There is no need to make it more difficult
I believe absolutely that 1- Finra should publish on the FINRA website short interest data for all equity securities (listed and unlisted). 2-potential short interest enhancements discussed above would , YES, be equally beneficial for both OTC equity securities and exchange-listed equity securities. In all I have discovered from public information made readily available on the sub Reddit /
I don't understand why people can be allowed to invest their life savings into a single stock that may crash and go to zero, but leveraged etfs are where we draw the line? People are always going to find a way to be risky in the stock market, leverage is one of the more well thought out ways to do it.
The effective date has been delayed to December 2, 2019
Important Note: Weekly aggregate non-ATS volume data is published on a two-week delayed basis for Tier 1 NMS stocks and a four-week delayed basis for Tier 2 NMS stocks and OTC equity securities. To align the implementation of the rule amendments for these data sets, FINRA has modified the initial publication timeframes described in footnote
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On September 26, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the National Association of Securities Dealers, Inc. (NASD®) short sale rule to provide that a "legal" short sale can be effected at a price equal to or greater than the offer price
Addition to previous submission today. Cryptos were clearly described by Buffet and Munger recently!!!! The term Derivatives is showing up in publications describing stocks. THIS IS AN ABSOLUTE NO NO. Derivatives is a wild card word. It can mean anything! Certainly not a legal definition of a stocks worth. Please veto it before it becomes accepted. Arnie Allison
My investments are my choice. I dont get to buy or sell stocks in advance before passing legislation that effects stock value like you elected officials. Leave my options alone. If you dont understand triple leverage and inverse funds, thats not a reason to limit me from using them.
