Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities which provides, with certain exceptions, that no member
SUGGESTED ROUTING
Senior Management
Internal Audit
Operations
Systems
Executive Summary
On February 24, 1993, the Securities and Exchange Commission (SEC) approved the NASD's new margin rules. The rules conform the NASD's margin rules to those of the New York Stock Exchange (NYSE) by replacing the current provisions of Article III,
We are tired of crappy stock markets..we need transparency of the stovk market... Citadel needs be broken into tiny pieces...how can someone be hedge fund and decide what do with retailers money... Are guys being held hostage by wallstreet.. 2008 economy go down..who gets bailed out.big money...2020 economy takes a shit..guess who the first to cry again. I think america is here cater for big
Finra 21-19 is a change that is long overdue to the short reporting systems that have plagued the United States capital markets for too long. The institutions that have the ability to misrepresent their short exposure and subsequent effect on the markets is not only damaging to the retail Investor but the markets as a whole. The changes implemented in Finra 21-19 are not only a step in the right
Please note my comments as below: Rule 1. All short sale shall be reported to finra by end of each settlement day. Rule 2. Finra shall make public report the day to day short sale by end of settlement day or the trading week. Rule 3. All unused loaned shares shall be reported to finra by end of settlement day. Rule 4. Finra shall make public the outstanding unused loaned share by end of
Inverse funds provide a far safer way to hedge investments to the downside vs. shorting stocks directly. They play an important role in any portfolio.
I shouldnt have to take a test to use inverse funds, its not right when shorting a stock, using puts and calls are essentially equal in results.
I support complete transparency. Please make all short positions public information to remove barriers that serve the 1%.
I fully support this proposed rule change and additional rule regarding short position reporting. Additional rules to protect investors, especially retail investors, should be explored on this topic as well as other issues such as order flow prioritization, block share lending, and ability to dictate exchanges for orders to be sent to. How is it possible for >50% of the daily trading
