In a fair and free market there should be absolute transparency. The number of shares shorted should be available in real time, during trading hours. No more dark pool trading. Every single share sold should be reported and able to be located at any time. Market manipulation is rampant and hurting retail investors. Naked shorting and FTDs should carry heavier penalties, always more than the
I would love to have complete transparency in the market. Synthetic, naked shorts, all of it. Regulate the trading to make it fair. No high frequency trading algorithms that can easily manipulate the market and prevent retail investors from having a fair shot. I would really like to see all short information reported daily. Lastly, actual enforcement by the SEC of malpractice, instead of slaps on
I would like to see the stock markets overhauled with a crypto blockchain style solution. Every share can then be tracked and identified with a unique token per coin. This could be created with specific user definable fields such as "shortable" where a user can specify whether or not his/her shares can be shorted. This could also enable a field to increment each time a share is shorted
I simply want an open, free market for trade and investment. It is not, and entities such as the SEC and FINRA allow it to be in the favor of hedgefunds and investment firms with large amounts of capital. Everyone should have to trade the same way, on the open market, under the same terms. Same time for the act of sale to transact. Shorting companies shoud be heavily regulated and absolutely have
In a fair and free market there should be absolute transparency. The number of shares shorted should be available in real time during trading hours. No more dark pool trading. Every single share sold should be reported and able to be located at any time. Market manipulation is rampant and hurting retail investors. Get rid of algo trading back and forth. Naked shorting and FTDs should carry
FINRA is committed to ensuring that all respondents are treated fairly in the disciplinary process. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the disciplinary process.
FINRA's disciplinary proceedings are governed by the FINRA Code of Procedure (the Code). You should consult the Code
I am an experienced high net worth investor who utilizes an inverse leveraged long term bond fund as a small portion of my portfolio to offset losses with some gains as interest rates rise. The benefits of this diversification strategy are just now being observed as interest rates are rising. I know what I am doing, not speculating nor trading frequently. Do not take this form of diversification
I am an experienced high net worth investor who utilizes an inverse leveraged long term bond fund as a small portion of my portfolio to offset losses with some gains as interest rates rise. The benefits of this diversification strategy are just now being observed as interest rates are rising. I know what I am doing, not speculating nor trading frequently. Do not take this form of diversification
Dear FINRA,
The(Your) tentative unnecessary regulatory interference, deemed potential unwarranted regulatory adjustments, by the majority of investors in U.S. financial Markets', and the/their use of 'free-trading' instruments in the purchase and sale of, ie., Currencies, Commodities, Bonds, Notes, Stocks, ETF's, etc., such as and in particular, those '
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 23, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comments a proposed amendment to the Interpretation of the Board of Governors, Free-Riding and Withholding (Free-Riding Interpretation) 1/ that would provide members an alternative means of complying with the Interpretation for
