I wholeheartedly agree with the proposed short interest reporting changes in this notice and continued heightened supervision of short interest reporting. I’m a believer that synthetic volume defiantly counters a fair and free market. Retail traders have continuously been walked over by the “system” since the stock markets inception. As a fellow regulator, I know first hand the importance of “
FINRA 21-19 is a long overdue change. A free and fair market is a strength of the US and it is obvious the integrity of those markets has been strained this last year. Part of that is due to FINRA's outdated short interest reporting policy. Even with some of the proposed changes in 21-19, there are still some gaps that do not account for synthetic shares that should be addressed as well.
FINRA 21-19 is a long overdue change. The market is a nonsensical mess as a result of the outdated "regulations" and lack of proper enforcement. You've encouraged a system that promotes Loopholes. Regulatory Notice 21-19 NEEDS to be sweeping across all aspects of reporting and closing and holding and marrying or whatever other terms or strategy's relate to Shorts and Reporting
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 10, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article VII, Section l(a) of the NASD By-Laws that would authorize the NASD Board of Governors to require members conducting an interdealer OTC business to report trade data.
The text of the amendment is
Sign In With GoogleThe social login feature allows public/individual authenticated users who require an account to access FINRA’s systems to register and log in using their existing Google account credentials. Social login makes the onboarding process easy and simplifies the authentication process by using user’s existing Google account information and credentials. This eliminates the need for
SUGGESTED ROUTING
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Executive Summary
Effective April 1, 1997, tier sizes for 692 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice announces the adoption of exemptions from the special suitability and disclosure requirements of Appendix F to Article III, Section 34 of the NASD Rules of Fair Practice for freely tradable limited partnerships. The exemptions relate to primary and secondary public
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
