Synthetic shares need to be penalized and/ or outlawed. Additionally, dark pool trading needs to be stopped. Brokerages that constantly short stocks should be required to reconcile at market value no later than 15 days following the first FTD prior to being allowed to trade openly on that stock.
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
15c3-1a(a) Definitions.
15c3-1a(a)(1) The term unlisted option shall mean any option not included in the definition of listed option provided in paragraph (c)(2)(x) of § 240.15c3-1.
15c3-1a(a)(2) The term option
Please allow me to continue purchasing Leveraged ETFs. They make up a large part of my portfolio, and have for years. They are very useful both for short term trades and longer term investments. Moreover, I am not fond of shorting individual stocks, but inverse ETFs fit my needs entirely. Thanks you for reading.
Dear FINRA: Firstly, I would like to thank you for giving the investor community an opportunity to be heard. For countless years, the investor community is deeply frustrated over the continuous manipulation of our financial system. I would like to address the following deep rooted issues regarding short selling within our financial system, and suggest possible solutions to mitigate risk in the
Hey there! I humbly and gratefully thank you guys for opening the doors to the public to have a say. I'd like to express my fears regarding short selling and naked shorting and how it affects my family. The stock price of my shares (AMC) often makes no sense, I'm asking FINRA to dig into just what's going on with big short positions, is the price being manipulated, the shorts have
Hedge fund managers need to be held accountable by jail time for naked shorting a stock in order to bankrupt a company. Regular investors that believe in a company and buy into it to help a company grow with an intent to make a profit should not be on the short end of the stick here (no pun intended). Investigate and hold these people accountable!
A breakdown per market maker of short positions as well. More transparency of, or doing away with, dark pool transactions. When stocks are going 50+% through dps on a daily basis, that is not in keeping with the purpose. Short positions vs percentage of capital for accounts. A daily, dedicated transcript of increase/decrease per shorts/float.
I strongly oppose regulators blocking investments such as leveraged ETFs and inverse fund ETFs. These funds serve a valuable investment tool with lower risk than other investment tools such as options and options strategies or even investing is some stocks outright. As a long time investor I am capable of understanding the risk related to leveraged funds and I don't require the
Dear FINRA,
Leveraged ETFs are a relatively new entrants into the stock market, with the first fund being introduced in 2006. These ETFs give retail investors easy access to leverage that does not subject them to margin calls, or expire worthless like an option. Another innovation made possible by Leveraged ETFs, are inverse strategies. By providing investors with the ability to hedge their
As a concerned investor and with regard for the overriding desire for free, fair and open markets, I return the following comments. 1. Consolidation of short interest data publication, centralized on the FINRA website should be made public. 2. Require firms to segregate short interest held in proprietary accounts vs that held in customer accounts. 3. Report to FINRA account-level short interest (
