(a) Filing Requirements
Each member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act ("private placement") must: (i) submit to FINRA, or have submitted on its behalf by a designated member, a copy of any private placement memorandum, term sheet or other offering document, and any retail communication (as
List the institutions that are short and how many shares? Report the amount of shares shorted on each transaction.
I am angry to learn about potential limits of my ability to trade any public security. Leveraged and inverse funds allow me to better manage risks and liquidity in my portfolio. They also offer the ability to trade in smaller sizes than typical futures contracts. Being able to short something without having to adjust exposure daily is a massive benefit for investors. You can't naked
I support these initiatives. Full reporting on naked shorting as well. Heavy enforcement of shorting regulations and of these initiatives.
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
Effective Date: February 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On November 10, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Subsection (b)(7)(C) to Article III, Section 44 of the Rules of Fair Practice clarifying that the exemptions from the filing requirements of
Short selling is an unnecessary practice and should be completely illegal. Blah blah blah “it prevents muh bubble”. [REDACTED]. We’re in a bubble already. The entire market is a sham to funnel money from poor people into the hands of [REDACTED] bankers and techno oligarchs who want to enslave us. Short selling is basically the equivalent of a [REDACTED] light switch. All short sellers should be
FINRA 21-19 is long overdue. Outdated short interest reporting policy has resulted in systemic risk to the integrity of US markets. While many of the policies mentioned in regulatory notice 21-19 generals address exploitable and ineffective reporting, they also have significant loop holes that would defeat the entire purpose of 21-19. It is critical for the restoration of stability in both the US
All short positions made by large institutions should be reported including naked short positions daily.
Good day, There is brazen and blatant market manipulation being done by big investors to drive down prices of securities such as AMC and GME, including practices such as naked shorting, ladder attacks, the spreading of misinformation through media outlets, etc. As to the short interest, what is reported is not accurate, as much of what takes place is on "dark pools" and is made of of
