Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
To whom it may concern, Short interest positions should be reported daily. Dark Pool trading should be banned. I can understand the argument for their initial creation, however I do not trust financial giants from misusing the dark pools for price suppression. Payment for order flow should be completely banned. Retail investors should be on an equal playing field as hedge funds and market makers
Proposals look great and I'm in agreement with all as they stand. Further comments: There's no reason why in a fast digital age reporting can't be daily, providing the most up to date information to everyone. Addition of synthetic shorts is a very welcome one. Further, there is speculation derivatives can be used in a way to make it appear a long position has been taken to cover a
I would like to see the following changes: Require that firms include synthetic short positions On the FINRA website- Make available short interest data for all equity securities (listed and unlisted). Short interest and short sale volume to be disclosed at a daily frequency Require firms to report short interest positions at the account level Require a report of daily allocations of fail-to-
A transparent and accountable market should be the lowest bar. This seems like a minimal step forward, particularly on a higher frequency and timely reporting, expanded information on account level positions, threshold securities, and ownership of synthetic shares. Please do more than consider these enhancements. I had no idea that there was financing available to cover shorts - this seems
I request that regulation and enforcement be equal for all stock market participants. It is frustrating to know how many advantages, privileges, and self oversight benefits are granted to institutional investors, market makers and clearance houses. The crimes are no longer speculation. There is public information on repeat offenders and habitual lawbreakers taking the stock market hostage to do
I'm afraid these changes do not go nearly far enough. While additional and more timely information is certainly appreciated, I believe what we need is for all short sales to be reported similar to the availability of Level II data. That is, every short sale should have to be recorded and immediately posted with the loan terms, where the shares were loaned from, and through which market it
The federal government MUST consistently monitor the inherent market manipulation executed by certain hedge funds who have short positions in various stocks - mainly AMC and GME. The immense amount of naked short selling, buy orders being re-routed to the dark pool to prevent the stock from moving upward, as well as countless other violations need to be addressed as soon as possible. AMC and GME
The Market Access Rule topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Filing Guidance - Public Offering Review
