1) Short interest data should be published daily. 2) Loopholes for hiding short interest with deep ITM options need to be closed for accurate reporting. 3) Self-reporting of positions needs to be cross-ckecked by independent audits periodically. It is really important you upgrade the reporting and also enforcement of rules, otherwise millions will lose faith in the legitimacy of the market and
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 3110
FINRA Rule 5310
MSRB Regulatory Notice 2014-02
Notice to Members 06-58
Notice to Members 01-22
Notice to Members 99-12
Notice to Members 97-57
Rule 605 of SEC Regulation NMS
Rule 606
I think none of the rule are being put in place are followed by hedge funds,payment for Oder flow should be ban, short selling should be cut to a minimum,the threshold list they’re not following,these people makes the market look bad we as retail investors see all the manipulation and are tried of it now what are the regulators are going to do about it.
Fail to deliver data should be reported more frequently preferably daily. Also short seller data should be far more transparent, require daily reporting of short positions, no longer allow covering shorts with options contracts, and the short sale reduction rule should be overhauled to not allow short selling at all once triggered.
The technology is available for T+0, we are fighting with companies who have the whole picture, yet we retail investors have to wait two days. We need more transparency, along with detailed rule enforcement, but overall we need more transparency, the retail investor knows that the tables are tilted towards the large institution. It is an unfair advantage.
Enforcement and transparency. There is no enforcement on the rules that are already in place. SSR is not enforced at all. T+0 settlement, ban payment for order flow, stop routing all our buys through dark pools (the dark pools are not being used as inteded), add real punishments for repeat offenders (jail time), force shorts to cover their synthetic shares.
Use Of Alias Prohibited During Cold Calling
It has come to the attention of NASD Regulation, Inc., that some registered representatives may be using aliases when making cold calls. Such activity violates National Association of Securities Dealers, Inc. (NASD®) Rule 2211 and the Federal Communications Commission's telephone solicitation rules, 47 C.F.R. 64.1200(e)(iv) (1997)1, which require
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On December 10, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules governing market maker withdrawals and
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Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is clarifying the application of the annual compliance meeting requirements of National Association of Securities Dealers, Inc. (NASD®) Rule 3010. Such meetings may be conducted by electronic means, provided certain
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceSystemsTrading
Executive Summary
In July, the NASD Board of Governors solicited member comment on eliminating a safe harbor for members trading ahead of customer limit orders. After reviewing comments received from members and others, the Board has taken action to eliminate the disclosure safe harbor and to
