TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 16 securities will join the 570 already trading in the NASDAQ National Market System on Tuesday, November 8, 1983. (The 570 include the 50 issues scheduled to join NMS on October 18.) These securities have met the NMS mandatory designation requirements, which include an average trading volume of 600,000 shares a month for six
I appreciate the opportunity to submit comments on Short Interest Reporting. I am not against short selling, and as a retail investor I have made some very profitable trades over the years on the short side. However, I was always required to locate the shares, request to borrow and confirm they were received before I could enter the position. I am concerned that the current rules are not being
1423 Leslie Avenue Alexandria, VA 22301 August 7, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington DC 20006-1506 RE: Rule 5110 and Regulatory Notice 23-09 Dear Ms. Mitchell: Thank you for the opportunity to comment on FINRA rules impacting capital formation. CrowdCheck, together with its affiliated law firm, CrowdCheck Law, was formed for the
With all the shenanigans that happen on the US market it is really causing myself and many others to lose faith in the American system. Many people from the UK have already stated they will Never invest in the American market again as it’s so corrupted. America wishes to be a global powerhouse but a lack of retail money will crush the dream very quickly all for the sake of looking after the 1%.
This system is being absolutely abused by short sellers and transparency is not only needed but should have already been implemented. Everyone should have access to the same data, THAT is a fair and just market. Right now the market , AMC, GME , in particular are being manipulated through the use of ETFs and FTD to stall the process of covering shorts like they should. The consequence of these
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Executive Summary
On August 8, 2006, NASD filed with the Securities and Exchange
Commission (SEC) for immediate effectiveness
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 7470 (Exemption to the Order Recording and Data Transmission Requirements) to extend for three years FINRA’s ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System (“OATS
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.
This system is being absolutely abused by short sellers and transparency is not only needed but should have already been implemented. Everyone should have access to the same data, THAT is a fair and just market. Right now the market , AMC, GME , in particular are being manipulated through the use of ETFs and FTD to stall the process of covering shorts like they should. The consequence of these
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
