I strongly oppose limiting our ability to invest in instruments of our choosing, just as you oppose us limiting your ability to invest in instruments you an privy information about.
Strongly opposed to proposed regulations.
Please do not interfere with my right to invest.
The public is capable of doing their own research. There is plenty of information in the prospectus for people to make their own decisions.
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Close-Out Requirements
SEC Regulation SHO
SEC Rule 203(b)(3)
Short Sales
Executive Summary
NASD is issuing this Notice to highlight recent
I understand the value of short selling. I understand it is a mechanism to root out unsavory characters that may be using subversive tactics to artificially prop up a stock/ security, however I do not understand why, in 2021 we as retail investors do not have access to the same information at the same time as institutional investors? how is that a free market? again its 2021 and we have internet
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Attached are copies of notices issued by the Comptroller of the Currency that relate to certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses registered in Majuro, Marshall Islands. Because
The current information safeguards for investors appears responsible and appropriate. Absent hard evidence of abuse, misunderstanding or the like, there does not appear to be a compelling need for increased regulatory involvement in this type of vehicle.
FINRA’s Board of Governors met on September 13-14 in Philadelphia. In addition to continuing discussions around FINRA’s Regulatory Operations, the Board reaffirmed FINRA’s Financial Guiding Principles.
SIPC MaterialsSecurities Investor Protection Corporation (SIPC) publication and member identification materials can be purchased on the Media Source webstore.Fingerprinting Materials If you need a supply of fingerprint cards, FINRA-specific fingerprint cardstock may be purchased from Sterling for $14.00 (includes 25 cards with shipping & handling). To order FINRA-specific
1. All short sales must be reported to FINRA by the end of each settlement day and made public by the beginning of the next settlement day. - FINRA must automatically pull the information by market close electronically (i.e. NO self-reporting) 2. All unused loaned shares must be reported to FINRA by end of settlement day and made public by the beginning of the next settlement day - FINRA must
"FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity. FINRA believes that these potential changes could
