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A unit of the NASD Regulation, Inc. (NASD RegulationSM) Market
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, we sit down with the leaders of FINRA's new Strategic Intelligence and Analytics team to discuss how they are working to identify and analyze these industry developments.
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Hello, I believe that this is a really important rule as we all know what can happen when shorts go unchecked. I understand the reason for shorting but when people get carried away, they can harm another company as a whole. I don't see how there could be any trouble making the info transparent to be able to keep a book on how many shorts are out on the market to avoid any issues of naked
Reporting partial short interests does nothing but mask the trickery of hedgies. A good rule change for FINRA would be to report from ALL exchanges both lit and unlit. Get rid of T + 2. Provide exact real time interest charges. Hopefully the SEC would ban naked short covering with options or ban naked shorts entirely. Basically level the playing field between Wall Street and retailers. If we can’
It seems that sanction on companies found breaking the rules are not stringent enough and they continue doing it by paying fines from money stolen from scared retail investors. It doesn’t seem fair to me that market makers should have the ability to trade when they have the keys to the algorithms used by super computers allowing themselves to stack the deck and manipulate outcomes in their favor
Transparency and fairness for all investors is all anyone wants. What has been happening over the last 6 months in certain stocks is unbelievable. Hedge funds need/must be held responsible for their actions when it come to FTD's naked shorting, etc. just the same as retail traders must follow the rules set forth by the governing body. Please this is huge for the US trading markets and will
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I’m sure you will get many comments but it would be nice to see more details on how companies are shorted in a given day as well as something which details what is considered market manipulation and how to report it because many “investors” feel they are getting a raw deal with hedge funds. I believe rules should be in place that a hedge fund cannot pay brokers for trade information especially
FINRA Resources
Senior Investors Topic Page
FINRA Securities Helpline for Seniors
Regulatory Notice 19-36 (FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary of Holding a Position of Trust for or on Behalf of Customer)
Regulatory Notice 19-27 (FINRA Requests Comment on Rules and Issues Relating to Senior Investors)
