The content outline has been established by FINRA and NFA for use by firms in developing their Firm Element training programs. The outline contains five modules or segments: (1) Stock and Stock Options; (2) Futures Contracts; (3) Security Futures Products; (4) Regulatory Requirements for Security Futures; and (5) Supervision of the Offer and Sale of Security Futures. You may also access an online
SEC Approves Proposed Rule Filing SR-FINRA-2011-063 related to Information Barrier ID, Customer Instruction Flag and the OATS Reporting Deadline.
So as we all know regular investors would like to have a fiat play on the market. Reporting more accurate short interest and positions would help us control the unlawful actions that have been hurting market for years. The people the use those techniques to make more money they would be stoped. I am AMC share holder and I want my voice to be hard we want equality we need to start making that
FINRA, I am just a small retail investor that is quickly losing faith in a fair and transparent marketplace. I would like more frequent public reporting of short positions and more detail in public reports to begin with. Can you help restore faith in the "retail investor" community by requiring extreme transparency at all levels? We need a fair and unbiased referee, without that, I will
https://www.linkedin.com/in/john-rhodes-14282b1a9/recent-activity/shares/ https://www.linkedin.com/posts/john-rhodes-14282b1a9_finra-requests-information-from-member-firms-activity-6928406241413087233-BSsr?utm_source=linkedin_share&utm_medium=member_desktop_web Let me get this straight, the Securities and Exchange Commission (#SEC) was created to protect investors and maintain fair
We need more transparency in the market. We, as retail investors are kept in the dark when it comes to the "free market" while hedge funds blatantly manipulate positions using illegal trading activity. The SEC and all the regulators need to enforce the new laws that have been put into place and quit letting manipulation happen why they take handouts from these financial crooks. So in
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
(a) Quotation Requirements and Obligations
A member registered as a Registered Reporting ADF Market Maker shall engage in a course of dealings for its own account to assist in the maintenance, insofar as reasonably practicable, of fair and orderly markets in accordance with this Rule.
(1) Two-Sided Quote Obligation.
For each ADF-eligible security for which a member is a Registered Reporting
I’m sure you will get many comments but it would be nice to see more details on how companies are shorted in a given day as well as something which details what is considered market manipulation and how to report it because many “investors” feel they are getting a raw deal with hedge funds. I believe rules should be in place that a hedge fund cannot pay brokers for trade information especially
SummaryFINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the
