1. The most neglected field in investor education is equity market manipulation. New retail investors should be informed about perpetual option fail-to-delivers, married-puts, shorting via exchange-traded-funds, off-exchange trading and selling synthetic shares to manipulate a stock's price. 2. From a retail investor's perspective: An open forum where individual users can share investor
<p>An individual who processes transactions by communicating orders to the member’s clearing firm, which then calls or electronically communicates with the contra-side of the transaction, is not involved in the execution of transactions for purposes of Rule 1032(f) and thus is not required to be Series 55 registered.</p>
I notice you are welcoming comments on regulatory notice 21-19 regarding short positions. In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen
-Enhanced Failure to Delivery, Failure to Settle, Market Buy Ins, Market Lock Ins and FINRA to Publicly report these in a timely manner in .csv format on their website. The only data currently available is "Failures to Deliver" which is only 1 of several metrics. Retail and others would greatly benefit from the transparency added by simply providing this additional information about
I would like to point out two proposals that I absolutely think must be accepted. The others are still very good to increase accountability and reestablish some semblance of trust. "Synthetic Short Positions: In addition, FINRA is considering requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness Day
WASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation. The discussion will build on the SEC, NASAA and FINRA’s joint training released in 2021
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
<p>Member that serves as investment consultant and sub-administrator for certain mutual funds, but does not serve as either the principal underwriter or an investment adviser or sub-adviser to the funds, may state in its public communications that it does not offer proprietary products.</p>
