We (retail investors) simply need to know more information on short positions on all available platforms - free or premium services alike. The information should also be as accurate and as current as possible with little to no delays for the entire market to participate fairly. Thank you.
Guidance on Social Networking Websites and Business Communications
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The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the
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FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in CRD/IARD for the annual registration renewal process. The payment deadline is January 22, 2021.
Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.
Background & Discussion
For far too long the stock market has been tilted/manipulated in favor of Wall Street. The issue is naked short selling. Despite being made illegal after the 2008–2009 financial crisis, naked shorting continues to happen because of loopholes in rules and discrepancies between paper and electronic trading systems. More often than you think great companies such as Clover Health. Clover Health was
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October 2002
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
Thank you, Elisse. Good morning, everyone - it's wonderful to see all of you here today. All of us at FINRA are committed to assisting you with your compliance efforts and these conferences are a large part of that effort. I'm thrilled you took the time to come to Scottsdale.
To Whom it May Concern: I believe institutions such as Citadel and Melvin need to stop manipulating the market by illegal tactics. Strict enforcement needs to take place when these companies violate the rules regarding synthetic shares and FTD's. Fines of 10k are merely a slap on the wrist for these companies. The amount of money that these companies have would be like a 1 cent fine in ratio
Having been a retail investor for over two decades, I only recently discovered the extent of market manipulation really going on behind the scenes. I applaud your organization's proposed changes. Specifically I believe the markets would benefit from public dissemination, in real time, the short positions, dark pool flow, and FTD's. I personally would go further, requiring a responsible
