FINRA 21-19 is an absolutely necessary change. Many people, myself included, have become quite disillusioned and leery regarding the current United States market, mostly due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable
Let me be absolutely clear. FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of
As an international investor in the US market I believe FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19
FINRA 21-19 addresses many of the shortcomings of our opaque market. While I support the reporting enhancements, I would like to see further action taken by FINRA to bring transparency to short selling. Short selling, while providing liquidity to the market, also brings the challenge of unlimited risk. Unlimited risk (e.g. a short squeeze) drives market participants to engage in unethical and
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
This statement aligns with my views: "FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
Leveraged ETF/ETNs do pose risks most retail investors do not understand. However, retail investors that understand the risks should not be barred from utilizing these very useful assets. Broker-dealers should require due diligence in line with that of margin approval and options approval. Specific arguments for this approach include:
1. An investor can lose 100% of their investment in a
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
The Department of the Treasury (Treasury) is granting an exemption from the haircut treatment for written mortgage-backed options under Section 402.2a of the Treasury regulations implementing the Government Securities Act of 1986. Treasury
