"Fines" = "hush money". Put the illegal shorters in jail SOON! Stop building your evidence because it's already been done for you via Overstock.com via gamestop via New Mexico vs. Banks. If the policies are preventing prosecution, put a vote to change them. Not next election, TODAY! This conflict of interest happening with your revolving door has got to stop TODAY! These
If FINRA and all other market regulatory agencies are going to start focusing more attention on keeping retail from burning themselves when they appear powerless to do the same for MMs, prime brokers, reckless hedge funds, and conglomerates that have against all common sense and reason been allowed to become all of these things under the same umbrella with apparently no oversight, not to mention
I am very troubled upon hearing FINRA is considering limiting or stopping many investors from being able to invest in inverse funds. You cannot short stocks in an IRA so inverse funds are one of the main ways you can still make some investment income when the market is dropping. Why are you continuing to divide the majority of investors from the elite and large investors that can do almost
Have now studied the stock market and how groups like CITADEL have been absolutely stealing from the Global Investment Community while SEC/FINRA/LEGISLATORS/PRESIDENT are simply turning a blind eye to Naked Shorting/handling FTD's and being able to manipulate stock prices by using borrowed shares in DARK POOL TRADING. Ken Griffin needs to feel the pain that he has caused the world retail
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from December 31, 2021, to March 31, 2022.
Summary
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time. The changes to Rules 1210 and 1240: (1) provide eligible individuals who terminate any
ATS data has been aggregated on a quarterly basis to display total shares, total trades and average trade size per ATS.2025 Quarterly Tables1st QuarterTier 1 NMS StocksTier 2 NMS StocksAll NMS StocksAll OTC Securities2nd QuarterTier 1 NMS StocksTier 2 NMS StocksAll NMS StocksAll OTC Securities2024 Quarterly Tables1st QuarterTier 1 NMS StocksTier 2 NMS StocksAll NMS StocksAll OTC Securities2nd
Thank you for your letter of February 9, 2022, requesting information regarding the arbitrator selection process FINRA Dispute Resolution Services (DRS) uses, and how at process. FINRA takes this issue very seriously and is fully committed to ensuring the integrity of the arbitrator selection process.
All FTD's should be reported daily and all self regulation should stop. All FTD's should be defined in a T1 and settled in a T2. All short positions should be identified publicly. All naked shorts should be excluded and settled with FTD settlements. All fines for violations should be on a per share basis. No more speeding tickets where the fine is cheaper than the position. Let the
First, there is no rule that can be put in place where the repurcussions are fines. Fines are a cost of doing business. Period. The street always makes far more money illegally then they pay in fines. 150% minimum fines. Now, that said, self reporting is a joke. We have the systems and technology available to ensure trades are marked correctly, that they are delivered adequately, not
