Dear Sir or Madam, it has been long overdue to further regulate short sale reporting as short selling has primarily been used by the investment firms impacting the financial market of the United States the most of any parties. The lack thereof seems absurd when taking into consideration the false reporting of many facts by mainstream media such as short interest, highly opinionated company
I am a novice retail investor and learning more each day. Here are a few remarks: 1. If naked or synthetic short is illegal, why allow it to happen? A company that issued 30 million shares should not be trading 100 million shares. 2. Rule breakers should pay fine to security agencies (SEC, FINRA, NTCC, etc.), compensate clients, and be restricted from trading certain stocks for a period of time.
I have attempted to read and understand the proposed rule changes set forth in these reporting enhancements on the topic of Short Interest Positions. I would like to make sure that my voice is heard as a full supporter of these rule changes! The reporting changes contained in these enhancements are critical to not only have them PASSED but also to have them 100% enforced. The amount of
FINRA is issuing this Notice to remind member firms of their supervisory obligations under FINRA Rules 3110 (Supervision) and 3120 (Supervisory Control System) if they hold or transact in customer accounts owned by municipal entities or obligated persons (municipal clients), as defined in Section 15B of the Securities Exchange Act of 1934 (Exchange Act), and participate in investment-related
Summary
FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning May 22, 2021, and includes new and updated questions that will facilitate
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "bank" means (1) a banking institution organized under the laws of the United States, (2) a member bank of the Federal Reserve System, (3) any other banking institution, whether incorporated or not, doing business under the laws of
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The NASD® invites members to vote on proposed amendments to Article II, Section 4 of the NASD By-Laws that will conform the NASD's eligibility criteria to changes adopted by Congress in 1990 to the statutory disqualification provisions
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Hello,
I am a retail investor with a working knowledge of markets and the economy. I take it upon myself to be educated and enjoy the freedom that provides me to handle my own financial affairs. While I do understand the need for basic regulation of the market and its professional participants, I summarily reject the premise of restricting my ability to succeed, or fail, based upon my own
Comments: As a retired Registered Investment Advisor of 38 years without a single complaint, I highly recommend you NOT change investor's access or ability to trade complex products, including and especially leveraged and inverse ETFs. Retail investor's net purchases of such leveraged ETFs have been rising steadily over the past few years, with the 10-day rolling sum recently exceeding
