Short selling of stocks, payment for order flow (PFOF) and Dark Pool trading should be banned completely. Shorting was banned by the SEC during the 2008 financial crisis and it has been banned in several markets worldwide. Shorting has caused promising companies to disappear due to naked shorting, manipulation and corruption that is rampant and obvious with no rule or law enforcement. Full
To whom it may concern, I am writing in support of the proposed changes applied in Reg. Notice 21-19. Particularly as an individual investor in the US financial markets, I am strongly in support of daily aggregation of short interest reporting. I strongly support increased granularity to the account level position reporting. I am adamantly in support of increasing comprehensive synthetic short
New Account Application Template
October 1999
Contingency Planning Activities
Although most businesses have worked, and are continuing to work, diligently to ensure that their Year 2000-related issues will be resolved in time, everyone must anticipate that some things may be overlooked, ignored, or not completed on or before December 31, 1999. In addition, businesses should consider events beyond their control that could
SR-FINRA-2008-005 - Proposed Rule Change to Adopt Rule 12905 of the Customer Code and Rule 13905 of the Industry Code to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a FINRA policy to expand disseminated Transaction Reporting and Compliance Engine ("TRACE") data to show, for each
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1988-89 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and
Guidance on Reporting Electronic Communications Network (ECN) Transactions
Proposed Rule Change Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
