It is ludicrous to expect any self-reporting method of counting short positions to be anywhere near reliable. Organisations engaged in industrial scale naked shorting will obviously not tell the truth about their positions, especially when the fines for mis-reporting are a tiny fraction of the profits they can make. The only trustworthy method of counting shorts would be to count the shares in
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA's NYSE Rules 421 (Periodic Reports), 440F (Public Short Sale Transactions Effected on the Exchange) and 440G (
When investing, one significant decision you’ll need to make is whether you want to follow an active or a passive investment strategy. Learn more about factors to consider when thinking about which strategy is right for you.
The Trusted Contact Persons section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I should be able to be able to short stocks just like the professionals. They would not like to be restricted either! It is an unfair playing field when you have to play by different rules than other investors. It's called cheating! I should be able to not have restrictions on my IRA either and should be allowed to short stocks like other investors and now you want to take away the only
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
Daily short reporting. None of this every 15 days. Also eliminate this T+2 reporting nonsense so others can naked short in the days between. No more illegal malarky. How about any purchased stocks (which can be used now for short ladder attacks) are forced towards covering shorts? Until all shorts are covered by short seller... all purchased stocks can't be sold, they have to be routed to
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors, and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.The purpose of this Notice is to promote and provide an overview of the various opportunities for
I would support and welcome strong requirements for technology leveraged real time updates to short positions. Because of the predatory nature many entities have assumed, and because of the predatory way that these entities use shorts against a given stock, I ask for any entity shorting a given stock to be publicly identified and that their full short position be updated in real time though
