TRACE Academic Waiver Policy
"Hello and good evening. I'd like to start by thanking you for being open to comments from retail traders. I am a retail trader from germany. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself
Hello and good morning/afternoon/evening. I'd like to start by thanking you for being open to comments from retail traders. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself so that I, as a young
Hello and good morning/afternoon/evening. I'd like to start by thanking you for being open to comments from retail traders. I am not the most financially literate person in the room, as my experience investing has been limited to this year, but in that time I have made great strides in learning how our financial system functions. I parsed Regulatory Notice 21-19 myself so that I, as a young
I was made aware that FINRA is seeking to put restrictions on L&I investments to "protect" investors. I'd like to offer up my experience as an example of why this is not needed. Details are below but I'd like to emphasize first:
I can make my own decisions about investments and do my own research. I don't need to prove to anyone that I
"Synthetic Short Positions: In addition, FINRA is considering requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic short positions achieved through the sale of a call option and purchase of a put option (where the options have the same strike price and expiration month) or through other
FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
Accurate reporting with proof instead of an honor system. No more wholesale brokerages that run shares through dark pools to aide short positions. Each share sold once with serial number as proof. No naked shorting is permitted, but it is still happening, so why are the perpetrators allowed to still participate in the market? No mislabeling shorts as longs. Enforce covering of short positions by
From Monday, September 26, 2022, through Friday, September 30, 2022, the FINRA Test Facility (NTF) for the OTC Reporting Facility (ORF) will not include the trade reporting nanosecond enhancements FINRA previously announced. All other ORF testing functions will be available during this week, including TDDS 2.1 data dissemination.
Effective Monday, December 5, 2022, ORF will begin supporting
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
