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).
I believe in requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic short positions achieved through the sale of a call option and purchase of a put option (where the options have the same strike price and expiration month) or through other strategies. FINRA believes this information would assist FINRA
I should be able to be able to short stocks just like the professionals. They would not like to be restricted either! It is an unfair playing field when you have to play by different rules than other investors. It's called cheating! I should be able to not have restrictions on my IRA either and should be allowed to short stocks like other investors and now you want to take away the only
SummaryFINRA has amended FINRA Rule 4210 (Margin Requirements) to establish a specified exception under the margin rules with respect to certain short option or warrant positions on indexes that are written against products that track the same underlying index. Referred to as “protected” option or warrant positions, the new exception conforms with similar provisions Cboe recently adopted. The
To Whom It May Concern, Regarding the Proprietary and Customer Account Categorization, I support specifying short interest held across proprietary accounts and customer accounts for each equity security as of the close of the reporting settlement data. As a logical extension, I recommend requiring short interest held in EACH proprietary account and customer account for each equity security, and
View frequently asked questions and guidance to aid members in their reporting obligations under FINRA Rule 4521(d). Note: This guidance only applies to members that need to report data pursuant to Rule 4521(d).
"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 short positions achieved through the sale of a call option and purchase of a put option (where the options have the same strike price and expiration month) or through other
Continuing Education Planning
I would support and welcome strong requirements for technology leveraged real time updates to short positions. Because of the predatory nature many entities have assumed, and because of the predatory way that these entities use shorts against a given stock, I ask for any entity shorting a given stock to be publicly identified and that their full short position be updated in real time though
Continuing Education Planning
