Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2022 or the first quarter of 2023.1 FINRA reminds members that all such filings they submit to FINRA must be made
The current regulations on "complex securities" is adequate. FINRA and SEC doesn't need any further new regulations in complex securities. These complex securities have the same risk and volatility as buying a individual stock. Geared ETF and Inverse are for advance investor and trader. The current agreement with brokers is adequate. I studied geared and crypto trust for hundreds
I oppose the restriction of inverse and shorting stocks
Its my money my choice and I can choose To trade how I like, I understand the risks and are happy with them
Leveraged and inverse funds are important to my
investment strategies. They are far less risky than shorting individual stocks and are an important tool in my investment toolbox..
"Total Shares Outstanding (TSO) and Public Float: FINRA also is considering including in FINRA-disseminated short interest data, where available, the TSO and public float for securities." This should be done on a more frequent basis. Prefer weekly reporting on the Public Float - number or percentage of shares available, number or percentage of ownership, specifically institutional,
The reporting requirements of short interest and short positions has long been due for reform. Running rampant in the market has been illegal market manipulation of stock prices utilizing failures of short reporting, specifically regarding short-exempt shares, naked short-selling, short positions being reported as long positions, hiding failure-to-delivers inside of far out-of-the-money puts/
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MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
To whom it may concern, As a retail investor and American citizen with rights, I synthesize with all other retail investors and institutions who want nothing other than a fair and equal stock market. A stock market that is free and clear of any and all manipulation. We have been the "small guy" for so long without a fair shot in being able to generate wealth, growth, and practice for
Hedge fund companies illegally naking shorting of AMC stock is making a mockery of our economic system. You need to restore order.
We all want fairness in the market. No more rules that protect big money from any culpability when taking advantage of access to market features that retail investors don’t have. Conflicts of interest such as market makers shorting stocks they hold the books for, t-2 settlement dates, 15 day short reports, and most importantly, darkpool order rerouting of retail investor buy orders must be
