Past Events
On-demand Events/Programs Featuring Reg BI Discussions
FINRA Unscripted Podcast: Regulation Best Interest and Form CRS: Two Years In | June 28, 2022
2022 FINRA Annual Conference Session: Regulation Best Interest: Lessons Learned | Recorded May 17, 2022
2021 Small Firm Virtual Conference | October 28, 2021
2021 FINRA Annual Conference | May 18 - 20, 2021
SEC
There needs to be away for people who are unable to sell stocks short to short the market during bear conditions Removing the use of inverse and leveraged funds further disadvantages individual investors and would continue to demonstrate the regulatory agencies' support of big market players
Summary
FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
Do not allow options mechanics or trading between parties to hide short positions. Also, make short positions greater than 2% of a stock’s outstanding shares public knowledge and require reporting in filings.
All short positions data should be released DAILY. THE SEC SHOULD ENFORCE THEIR ALREADY ESTABLISHED LAWS INSTEAD OF FORCING US TO HIRE LAWYERS TO GO AFTER HEDGEFUNDS THAT TRADE SHARES IN DARK POOLS. THE AMOUNT OF MARKET MANIPULATION THAT OCCURS DAILY WITH ONLY A SLAP ON THE HAND IS RIDICULOUS! MAYBE START ENFORCING MARGIN CALLS. I WOULD LOVE TO SEE CITADEL'S FINANCIALS TO SEE IF THEY HAVE
We as retail investors need to know what is going on in the dark pool. Also, we need to know which institute has what short and the action they took can cause the short effect.
As a small retail investor it is obvious that shorting has become a way to rig the game against the retail investor and against companies vying for survival. This practice of shorting and the illegal practice of naked short selling makes our financial system look like a stool with three legs…. Not very stable. If we don’t fix the glaring problems in this system where the scale is so clearly
Request a fair level playing friend as a retail investor. Short sale reporting should not be so secretive or delayed amd take weeks to see the reports. Short sale rules must change.
I t hink the current vagueries of the short market are an absolute disaster. We need precision and accuracy to determine reasonable market moves- something in this "self-regulating" market, we simply dont have. Too many companies fail to disclose or accurately disclose their short positions, and simply pay the fine later after theyve made their money on the backs of those who couldnt
