FINRA 21-19 is a long overdue change. It is clear that 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to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is a long overdue change and it has my full support. It is clear that 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to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. Numerous short hedge funds and other entities abuse this regulatory gap to hide what is very
FINRA 21-19 is a long overdue change. It is clear that 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to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
Under the current and long-standing disclosure-based system, I as an investor should have the right to decide which public equities, bonds and funds I want to buy. The newly announced changes suggested by FINRA will upend that principle, giving regulators and not me, the investor the decision making opportunity to decide what public securities I can and cannot invest in. This is not acceptable
I dont see the point taking away the freedom to invest. I find it odd for regulators to even think about this when market manipulators continue to make billions. The playing field is not level if the regulators continue to turn a blind eye to the truth of how these manipulators take advantage of loopholes in the system. Address that first and maybe we can revisit this.
Good afternoon!
FINRA are subjective and could lead to unfair or even
discriminatory treatment of investors.
Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy.
Don't giving regulators the power to decide what public
securities you can and cannot invest in. Leave it for investor!
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
SummaryThe purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.A formal notice of the NAC election and ballot
All these "considerations" are excellent and much needed. Since their is a loser on the end of every trade you really have to level the playing field. Secondly the public can't rely on the system to protect them from manipulation and greed. Enforcement of these rules would go a long way towards fixing that.
Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’
