I heard the whining and railing of the uninformed idiocacy during the last down turn. Some were blaming the severity of the drop in stock prices on SHORTs and wanted action taken to BAN them. Are you part of that craze? The small investor or beginners don't necessarily have the avenue to create wealth in a BEAR market. Inverse ETFs and short funds are exceptionally useful to us when used
It is completely demoralizing as a retail investor to see what goes on with the stock market manipulation via shorting, off-exchange trading, and lack of reporting on short positions. The market is only fair if you have enough money to play. The fact that institutions can trade off exchange, use a million different tactics to short a stock (especially high frequency trading), and get fined
Hello Finra! , Thank you for listening to the people about these issues! we really need our voices heard since we might be a lot of individuals but we are not as organized as some big money entities are and we cant express ourselves in a very cohesive way but anyways. Please take a look into short selling taking place in $AMC & $GME and some others that i belive are being manipulated
I recently became interest in investing. I am self employed with no retirement. I am afraid to put money in because I feel like large market maker hedge funds have an advantage by controlling the market. It is obvious that they trade in dark pools to drive the price down, short viable businesses into bankruptcy by making up millions of shares, while controlling the media. It’s pathetic, I have to
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NEW FOR 2023
Regulatory Obligations and Related Considerations
Regulatory Obligations
Rules 203(b) (Short sales) and 204 (Close-out requirement) of Regulation SHO provide exceptions for bona fide market making activity. The SEC has provided guidance on what constitutes “bona fide market making activities” as well as examples of what does not; member firms must also confirm and be able to
General’s speaking, the more reporting, the better. Especially when it comes to short interest as well as synthetic short positions. As a day/swing trader, given how quickly the markets move and their volatility, weekly reporting doesn’t help me because I need to operate on the most up to date information possible. So daily reporting would be the only thing worth it to me. Thanks for doing this
Over the past several month I have noticed suspicious short activity daily when watching AMC and GMC stock tickets. Daily the inflow is greater than the outflow but the price drops. It’s obvious market manipulation using synthetic shares via dark pools. Please look into this matter and make hedge funds have more transparency when reporting short positions.
The organization doing the shorting should not be the one reporting that it actually shorted or the current amount. Everything in the stock market should be electronic, reported as it happens by automated means, and documented for all to see in a central location. Everything in the stock market could be automated and these "market makers" / hedge funds are taking advantage of the system
Short interest reporting by all of these entities should have complete transparency. Failures to report on possible FTD’s, never delivering those shares or marking short positions as long should result in repercussions equal to the actions. Small fines or as they can be referred “the cost of doing business” for some of these funds or entities are unacceptable. Reporting should be even more
