Effective Date: May 1, 1995
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Legal & Compliance
Operations
Registration
Training
In early 1993, six self-regulatory organizations (the American Stock Exchange, the Chicago Board Options Exchange, the Municipal Securities Rulemaking Board, the National Association of Securities Dealers, Inc., the New York Stock Exchange, and the Philadelphia Stock
Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
SR-FINRA-2009-007 - Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282, and Delete Incorporated NYSE Rule 177 to Conform with Amendments by the NYSE to its Versions of Rules 12, 177 and 282
In regards to regulatory notice 21-19 regarding short positions... In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen with impunity. The SEC and
I have traded in this market for DECADES and it has come to my attention since being out of work how much naked shorts, market manipulation and price spoofing and lastly killing any signs of a increased stock like AMC its criminal. Ive alerted my attorney and am very unhappy . Im sure the institutions are doing what they need to protect itself but myself and others have came in the middle of a
Hello As a market investor in certain stocks which have been massively naked shorted by hedge funds, I feel we need total and complete transparency of all short positions. All short positions should be made public. All off-exchange dark pools should be banned except for real large block trades, which was the original intent. Naked shorting should be regulated and prohibited to a greater extent.
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Senior Management
Legal & Compliance
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Registration
Executive Summary
The 1994-95 NASD broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to help members review, reconcile, and respond to the final adjusted invoice packages that were mailed to all member firms
I think the current system of allowing financial institutions to transfer their short positions is highly ineffective and damaging to the stock market as a whole and must be stopped. If parties involved in shorting companies cannot cover their positions after failing to deliver in the already existing time periods and have passed the fail to deliver threshold list requirements I think they should
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
Hello, I have no affiliations with professional investing, I just started getting into it last year at the height of the pandemic. With that said, there is an obvious disregard for being truthful about short selling due to recent events and am happy you re looking to retail investors to get their take. Either a daily or weekly report that is NOT self reported would be best. Self reporting seems
