Accurate reporting with proof instead of an honor system. No more wholesale brokerages that run shares through dark pools to aide short positions. Each share sold once with serial number as proof. No naked shorting is permitted, but it is still happening, so why are the perpetrators allowed to still participate in the market? No mislabeling shorts as longs. Enforce covering of short positions by
The short selling as a business action to "bet" against what is considered a failing business is understandable. It's when a company uses various tricks in the market to create more shorts than should actually exist, IE naked short selling. Various people that are not apart of the regulatory system have proven such naked shorts exist and yet the system set in place does nothing to
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Senior Management
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Legal & Compliance
Operations
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REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to
Private short positions should not be allowed. All short positions should be disclosed to the public
Exchange-traded products (ETPs) including exchange-traded funds (ETFs), exchange-traded notes (ETNs), and commodity and currency ETPs have surged in popularity over the last decade. Risks vary for each product, with some types of ETPs exposing investors to both complexity and significant danger of losses. Volatility-linked ETPs are one such example.
On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. FINRA has published several notices to remind firms to use PDM to review their TRAQS users. As a final reminder, firms are
Hedge funds use techniques such as naked shorting, dark pools, and other questionable techniques to transfer money from retail investors to such funds. It is of the utmost importance that there is a level playing field thus that any type of short is logged, incuding which type of short it is, who is doing this etc. And to do this on a regular basis (daily?) so there is a more level playing field
Whether you need to report a gain or can claim a loss after you sell an investment depends on its cost basis. Learn the basics about how to calculate an investment’s cost basis, understand the tax consequences, and what to report to the IRS.
If FINRA puts any restrictions on leveraged and/or inverse funds, it also have to put the same restrictions to other volatile stocks. There are a number of stocks that are much volatile than leveraged and/or inverse funds.
Everyone has its own right and responsibility to invest any stocks. More restrictions will make people leave the stock market, which will not help any public companies.
FINRA published the 2025 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
