Data transparency is a must of having reliability, responsibility, and accountability within in financial industry. Without the full faith and trust in a fair system, myself and other investors would see no reason to put our hard earned money at risk to the "Wall Street Boys Club". As such, all information about short sale positions, short interest, etc. must be publicly and freely
By Robert Cook, President and CEO, and Greg Ruppert, Executive Vice President, Member Supervision, FINRA. From 2021 to 2024, the SEC brought enforcement actions against numerous FINRA member firms for recordkeeping violations involving off-channel communications (OCCs) and settled them on substantially similar terms. In January 2025, the SEC brought additional OCC-related actions against other member firms but settled these on significantly less burdensome terms. A group of firms settling before 2025 petitioned the SEC to modify their settlements to align with the January firm settlements. The SEC recently denied this petition.
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Form U4
Registration
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Registration
Senior Management
FINRA Registration via Form U4
Executive Summary
FINRA reminds member firms that when an associated person of a member is registered with another SRO in a registration category recognized by FINRA, the member
FINRA 21-19 is needed to restore the Retail Investor's trust in the market. An equivalence of information is needed to ensure all parties in the market are on equal footing. Transparency of data, in particular, the limited short interest reporting policy, needs to be improved. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and
Very simply put, our founding fathers had a knowing. A conviction that there is but one truth. We must not deviate from the path set upon in regards to perpetuating our conviction of the self evident truth that "all men are created equal ".
Equality in creation that dictates fair access and complete freedom to invest in any public stock .
Far be it just that a man be
Dear FINRA, It has come to my attention that you are considering restrictive regulations on various final investment options that are currently offered for public investments. I am a small-time investor and do not have the same type of wealth that hedge fund and wealthy investors have so, I appreciate having the type of funds that are available today which offer various well-defined strategies.
Give your standard disclosures. Bring back the short sale rule! Keep the auto close for severe drops on the indexes. Go after the cook the book companies, and the insider trading crooks but do not deny the independent traders,investors or institutional financial firms the ability to hedge or out gain the standard index. The great thing about the United States is that one can take risk to possibly
I am vehemently opposed to regulators restricting my ability to invest in leveraged and inverse funds. I have been using such funds for close to two decades -- they are an essential part of my investing approach, allowing me to preserve capital in down markets by investing in leveraged funds using less cash for the same amount of "firepower." Restricting my ability to invest in
While I believe that no one should invest in anything they do not understand, I do feel that any investor should be allowed to invest in any publicly available investment without restriction. Today, stocks are overvalued, rates and inflation are rising, and the government is printing money like never before. Will it all end badly? Of course it will, but if you put restrictions in place on what
I have been investing in these types of securities for a very long time especially if closed end funds are included in the list, it has been well over 20 years and I already understand the risks and have ridden through the crash of 1987, the tech bubble, crash of 2008-2009, etc.
I think these types of investments (leveraged funds, etc.) should not be any more regulated than they currently are
