Hey. I’m a retail investor and I beg and plead you to put a rush on dark pool buying and a more transparent stock market on short sales and naked shorts. As a retail investor I’ve poured about one hundred thousand dollars in the market and it seems we have been shorted on GameStop, chargepoint and it’s no secret of AMC. As retail investors we want to continue to put money in the market but I can
*Short positions should be reported daily. I feel that this will provide more insight to the existence of Naked Shorts. *Synthetic Short Positions should most assuredly be reported. *Short volume should be capped and the cap kept low to allow for organic and transparent trading and limit the opportunity to manipulate the stock. *Dark pools should no longer be allowed. *Days on loan should be
The current price manipulation with AMC/GME et al has exposed the stock market corruption. All reporting agencies and SEC rules don’t make a difference in protecting the big money from the everyday average trader. It seems to me that the rules only apply to the small investor and protect big money instead. It’s all an incestuous relationship between the SEC, FINRA, DTCC and the like and the big
New Datamodules for Short Selling cool but it will definitly not fix the problem, that the retail is charged invisible fee's and Market Makers abusing those retail investors by pulling them to buy more shares take those fee's and letting other institutions do their dirty work by shorting the stock to keep it low and paying them liquidity with those made fee's to keep going,
I believe more transparency is needed any the dark pools need to be more transparent as well. The fines and penalties need to be increased so that the crime wouldn't be worth the cost of the crime. You have people taking interest in the stock market just to get robbed due to manipulation and synthetic shares. You will find that more people can be made to use the market fairly and people
Every large institution, hedge fund or bank should have to report their short position(s) immediately and made public. The time is takes for market makers to cover failure to delivers on the thresh hold list needs to be reduced from 13 days to 5 days. All failure to delivers should be reported 3 days after a trading day. The penalty for creating synthetic shares should be the same as creating
FINRA is issuing this OATS Report to describe members' OATS Exchange Route Matching (ERM) obligations when routing to a national securities exchange.
Summary
FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).
Questions concerning this Notice should be directed to:
Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
Blake Snyder, Senior Director, Member
Hello, I am commenting in favor of the following regulation adjustments: - Short positions need to be reported daily by funds and market makers, and public notice needs to be reported daily on a public website for that purpose, for all holdings and companies in the market. - Audits need to happen by regulatory agencies to ensure shorts and FTDs are not being hidden in options. - Punishments need
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The 1990-91 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
