To Whom It May Concern:
Your recent notice, FINRA Regulatory Notice #22-08, seems very problematic for everyday investors. Leveraged and/or Inverse funds serve very important functions for retail public investors. Most of the time, they provide the only way for a retail investor to cost effectively hedge a position or a certain exposure. For example, earlier this year my wife and I were waiting
Term
Description
Unequal Long and Short Positions
Members must report any account or accounts acting "In Concert" that hold over 200 contracts on either the long call/short put (bullish) or the short call/long put (bearish) side of the market. A member must report every subsequent change in the account’s end of day (exchange traded
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
Fourth Quarter—1986
Notice Number
Shorting stock needs better regulations
Hello, as a normal American, I am very happy to hear about many of the proposed rule changes. We need far greater oversight on short selling. We need that data to be available to the public, and that data needs to be available to finra and the sec, too! People that are allowed to have a hedge fund, market maker, and exchange under one parent company, that then hide their positions behind data
Stop the naked shorting and increase Transparency.
Short reporting should really be transparent
Please expose all the naked shorting.
US citizens should be allowed to invest as they wish. Regulation is nothing short of communism.
