Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November.
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and
To whom it may concern: I have grave concerns that the goals of the 21-19 rule change have too many loopholes and will not meet the stated goals of the effort. In fact, FINRA's minimal efforts at preventing ongoing FTD violations and options and swaps manipulation that circumvents REG SHO and T+2 requirements has led me to believe that FINRA is unable to be trusted as a Self-regulating
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Executive Summary
NASD has filed for immediate effectiveness a proposed rule change
to codify certain
The reporting of "short interest" should be accurate! The everyday, retail investor should have access to ever piece of information the Hedge Funds and Market Makers have. If company is under attack by one of these Hedge Funds, we should be able to obtain real time info we can make educated decisions on where you are putting our money and not get caught holding the back when said
Short interest, shares on loan, order flow data/routing, and all other information available to institutional investors should be available to other market participants to promote true market equality. The same sentiment holds true for the timeliness in the availability of reporting data. The current market structure fails to protect self-directed investors from market manipulation and fraudulent
1. Buy orders vs sell orders buy orders show more inflow and the price drops. 2. Naked shorting, synthetic shares. With amc the CEO gave good information about share holders and the amount per stock holder on average. This number does not add up with the volume of buy and sell orders. 3. It's a simple supply demand the supply is small and demand high. How can the price constantly dropping if
I would like to see a more transparent market with instant short position reporting to the general public. I would also like to see instant reporting of any failure-to-delivers. I would like to know the volume from each market even the dark pools to understand the price change. I think this information should be public to any retail investor instantly and easily with no delays. I believe this
It amazes me that citadel can control market orders from Robin Hood. They can see real-time information and use it to control stock prices giving an unfair advantage to retailer investors! They can direct sell orders through the exchange but can place by orders through the dark pool! I strongly disagree that the dark pool should be eliminated but highly encourage all retailer investors’ orders go
The 2025 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, regulatory operations programs).
