FINRA’s Third-Party Vendor Request asks firms to submit information on all third-party providers that are essential to firms’ operations, processes or functions. The first webinar below provides an overview of the request including why FINRA is requesting this information and how your data will be used, and the second webinar reviews frequently asked questions (FAQ). These events are
Please implement the following amendments: (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.
Please implement the following amendments: (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.
I believe it’s the utmost importance that the short report of any kind, should be an information declared daily. Only then we shall have a market more equal and attractive to retail and everyone else. I appreciate very much the opportunity to let our voices be heard. Thanks, Felipe Borges
I would like to see more information and transparency in reporting of short sale positions. I am a retail investor and would like an even playing field with hedge funds. I understand that other markets have stopped the short share positions to stimulate the economy. Thank you for your time
All investing options should be open to people willing to take the risk. It is amazing the overreach that our government would like to put on it's citizens. But if you are connected or in political power, you can amass a tremendous fortune off of the knowledge and inside information. Do something constructive, put us back on the gold standard and enact term limits on politicians.
I have used leveraged and inverse funds to enhance the profitability of my portfolio and built an entire strategy surrounding their use successfully. The proposed regulations have the potential to harm my future investment goals. The current information provided surrounding these types of funds is more than sufficient for proper understanding of risks and my abilities to utilize these products
I am a fully informed investor & 20+ year Investment Advisor who should be able to invest in levered & inverse funds any time. Ive been given the Prospectus before each trade. I know how they work. Dont take away my right to own them. That would be a huge government overreach & not a good use of taxpayer dollars.
Public investments should be available to all of the public, not just the Privileged/Criminals. As the people (MIDDLE SCHOOL/POOR) we understand the conversation mush clearer than previous years. Bad enough our Birth Certificate Bonds (Year 1933 GOLD STANDARD) was stolen from our ancestors, with no education to achieve wealth. FINRA need to cut it out. WE UNDERSTAND INFORMATION
Regulations that impede my investing strategies and choices (imposed by bureaucrats who enhance their wealth by the same strategies) are unethical. We live in a digital age where information and learning is rapid and exponential. To assume that most everyone except politicians and elite wealth classes are incapable of investing with leverage is pompous and sorely mistaken. Let free people
