Summary
FINRA is requesting comment on potential enhancements to its short sale reporting program. FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other
SummaryFINRA has amended FINRA Rule 4210 (Margin Requirements) to establish a specified exception under the margin rules with respect to certain short option or warrant positions on indexes that are written against products that track the same underlying index. Referred to as “protected” option or warrant positions, the new exception conforms with similar provisions Cboe recently adopted. The
B. Content of Short Interest Data - The addition of reporting short interest by categories to give a more accurate picture of which entities hold what positions is great for accountability and keeping an open fair market. - Yes. Any short/long position should be reported the same. Synthetic short positions have a history of being used to conceal a form of market manipulation due to its ability to
Fair market! Stop the naked shorts and stock fraud!
Disclosure of short positions. This should be the same as ownership of stocks.
Occasionally, I have used "complex investment products," such as leveraged or inverse funds in my portfolio for specific purposes. As a retired person, I need growth in my investments to fund my living expenses and so far, 2022 has not been very kind. One bright spot in my portfolio has been the ProShares ETF that shorts the 20-year treasury bond which produces a return in a
Respectfully, Much of what FINRA is “considering” regarding the reporting of Short Selling, Reporting, disclosures, and transparency is all needed to protect not only retail investors both domestic and abroad, but to ensure there is confidence in the US stock market. A failure to close loopholes from hedge funds and create a fair and equitable platform where investors get “real” pricing, and
SUGGESTED ROUTING:*
Senior ManagementInstitutionalLegal & ComplianceOperationsSyndicateTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has taken several actions to eliminate short-sale abuses. Notwithstanding these initiatives, an important segment of market participants, including investors and corporate issuers,
Please check out manipulative short selling activity on stocks $NURO, $MMAT, $MRIN. The abusive short selling activity has forced price declines in unreasonable amounts and time frames. Please do something about this to protect the interests of us small time retail investors. Appreciate your assistance . Respectfully, DV
While it's nice to see this request from retail investors, good intentions pave roads to nowhere. What is initially needed: - enforcement of existing rules to stop naked shorting - enforcement of existing rules to stop FTDs - enforcement of existing rules to stop dark pool selling of retail orders - enforcement of existing rules to stop labeling shorts as "exempt" from SSR Once the
