Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
I believe it’s the utmost importance that the short report of any kind, should be an information declared daily. Only then we shall have a market more equal and attractive to retail and everyone else. I appreciate very much the opportunity to let our voices be heard. Thanks, Felipe Borges
I would like to see more information and transparency in reporting of short sale positions. I am a retail investor and would like an even playing field with hedge funds. I understand that other markets have stopped the short share positions to stimulate the economy. Thank you for your time
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Summary
FINRA alerts member firms to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the transfer of customer account assets from one firm to another.
This Notice provides an overview of how bad actors effect
FINRA is reviewing the sale of structured products to investors. In connection with this review, we request the following information for the period of January 1, 2007 to May 31, 2009 (“the review period”).
Confidentiality is the cornerstone of the Ombuds practice. Your identity — and the matters you bring to our attention — are protected. When you contact FINRA's Office of the Ombuds, you can expect to talk to someone who will listen attentively to your concerns.
(a) Unless the parties agree otherwise, within 60 days from the date a discovery request is received, the party receiving the request must either:
(1) Produce the requested documents or information to all other parties by serving the requested documents or information by first-class mail, overnight mail service, overnight delivery service, hand delivery, email or facsimile;
(2)
Hello, I'm sending this comment on behalf of the current situation of short sales being done within the stock market of AMC. As a new investor being affected by the current situation of the manipulation being held within the stock market, specifically AMC, it has been disheartening to see what's being done to the stock market. I've noticed throughout my time investing, I, along
SEC Approves New NASD Rule 2290 Regarding Fairness Opinions
