The state of the United States financial markets is a disgrace in no small part due to egregious abuse of short selling. Skirting of the current rules and regulations is commonplace and the penalties of such behavior, even when caught, are laughable given the profitability of such behavior. Both the prevention of this criminal activity and bolstering of punishment for said activity must be
There needs to be a far stronger watch on naked short selling that is clearly a major issue in the current market. Investors should have full transparency to what's going on within the markets they invest their money in. The entire world has their eyes on the US Financial system at the moment. The result of the lack of oversight and control has put extreme distrust in the American financial
It is clear that the integrity of the United States market has been strained to the edge of collapse, in large part due to risk resulting under the regulatory authority of FINRA's outdated, short-interest reporting policy.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 reporting, they also leave significant specific
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to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. FINRA 21-19 is a long overdue change. The policies mentioned in Regulatory Notice 21-19 speak of exploitable and ineffective reporting, they also leave specific gaps that could
It is clear that the integrity of the United States market has been strained to the edge of collapse, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy.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 reporting, they also leave significant
The Neutral Corner - Volume 3—2023
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 would love to see a more timely and accurate reporting of short positions. No-monthly isn’t cutting it. The manipulation happening right now with retail investors money is blatant and should not be tolerated. Recent events have brought to light how unbalanced and unfair the system is for retail investors that pay budgets for these government reporting and enforcement agencies. The market makers
FINRA’s National Cause and Financial Crimes Detection (NCFC) Cyber and Analytics Unit (CAU) has noted a recent alert issued by Microsoft on May 30, 2022.
The Microsoft alert describes a remote code execution vulnerability, named “Follina” by security analysts, related to the Microsoft Support Diagnostic Tool (MSDT) that can be used by a threat actor to run malicious code. As a result, a threat
On occasion, the securities markets may unexpectedly close for business, for example, on a national day of mourning declared by the president of the United States. This Notice provides updated guidance to members regarding SEA Rules 15c3-1, 15c3-3, 17a-5, Rule 204 under Regulation SHO, FINRA Rules 4210, 4230(b), 4521 and 4524, and Federal Reserve Board Regulation T in the event of such an unexpected close.
