Proposals look great and I'm in agreement with all as they stand. Further comments: There's no reason why in a fast digital age reporting can't be daily, providing the most up to date information to everyone. Addition of synthetic shorts is a very welcome one. Further, there is speculation derivatives can be used in a way to make it appear a long position has been taken to cover a
I request that regulation and enforcement be equal for all stock market participants. It is frustrating to know how many advantages, privileges, and self oversight benefits are granted to institutional investors, market makers and clearance houses. The crimes are no longer speculation. There is public information on repeat offenders and habitual lawbreakers taking the stock market hostage to do
I'm afraid these changes do not go nearly far enough. While additional and more timely information is certainly appreciated, I believe what we need is for all short sales to be reported similar to the availability of Level II data. That is, every short sale should have to be recorded and immediately posted with the loan terms, where the shares were loaned from, and through which market it
To whom it may concern, Short interest positions should be reported daily. Dark Pool trading should be banned. I can understand the argument for their initial creation, however I do not trust financial giants from misusing the dark pools for price suppression. Payment for order flow should be completely banned. Retail investors should be on an equal playing field as hedge funds and market makers
The federal government MUST consistently monitor the inherent market manipulation executed by certain hedge funds who have short positions in various stocks - mainly AMC and GME. The immense amount of naked short selling, buy orders being re-routed to the dark pool to prevent the stock from moving upward, as well as countless other violations need to be addressed as soon as possible. AMC and GME
FINRA is amending its TRACE Data agreements, including the Vendor Agreement, the Non-Real-Time TRACE Data Agreement, the Historic Data Agreement and the Academic Corporate Bond TRACE Data Agreement, to update the procedures for notices required or permitted under the agreement to, among other things, allow notices to be sent via email. In addition, other amendments are being made to correct typos
SR-FINRA-2009-009 - Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
FINRA’s Board of Governors met on March 9 and 10, and it approved a proposal to shorten the securities settlement cycle from two business days after the trade date (T+2) to one (T+1) and approved the allocation of 2022 fine monies to various capital initiatives.
(a) Composition of PanelsThe arbitrator will be a public arbitrator selected from the public chairperson roster, unless the parties agree in writing otherwise.(b) Generating Lists(1) The list selection algorithm will generate a list of 10 public arbitrators from the FINRA chairperson roster.(2) The list selection algorithm will exclude arbitrators from the list based upon current conflicts of
The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA). The SAA is entitled as an administrator to all applications participating in the FINRA Entitlement Program that are available to the organization.
