I am a new retail investor but I have found quickly a strong sentiment of unfair trading practices and market manipulation by hedge funds that leaves retail traders at significant disadvantages. I appreciate the efforts on behalf of FINRA and the SEC to eliminate these events of malpractice by enforcing the rules that are currently in place, as well as, providing the public with more accurate and
Synthetic Short Positions FINRA should require firms to reflect synthetic short positions in their short interest reports daily. Exchange-listed Equity Securities FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted) daily. Information on Allocations of Fail-To-Deliver Positions Reporting daily allocations of fail-to-deliver positions to
Hello and good evening. I would just like to comment that it makes no sense why the market maker "Citadel" trades on the dark pool that they created not having to report any information while they look at every order we make. Investing in a company should not be playing against the house, this is not a casino, it is an investment for the better of our economy. FINRA (you) reported GME
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Legal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 12, 1991, the NASD activated enhancements to the Firm Access Query System (FAQS) that will enable subscribers to more efficiently process Forms U-5 and access certain registration information about their
Chairmen Schapiro and Gensler and Commissioners, I am Steve Luparello, Vice Chairman of the Financial Industry Regulatory Authority, or FINRA. As a long- ago alum of both agencies, it is a true pleasure to have the opportunity to be here today.
As a not-for-profit membership organization, we are committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you on FINRA’s plans over the next several years for funding our mission of protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets.
The Neutral Corner - Volume 3—2022
(a) Compliance with Quoting and Trading Restrictions
(1) Member Compliance
Members shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the applicable quoting and trading requirements of the Plan.
(2) FINRA Compliance
FINRA systems will not display quotations in violation of the Plan and this Rule.
(3) Pilot Securities That Drop
The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card.
The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files.
Summary Definitions and Data Fields
Term
Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
