Naked shorting is illegal.- Conditions need to be met by regulatory agencies to ensure it doesn't happen including federal sentences for those caught selling naked shorts. If I can’t sell you a car I don’t own than it should be just as illegal to sell shares that don;t exist. Short positions need to be reported daily by funds and market makers, and public notice needs to be reported daily on a public website for that purpose, for all holdings and companies in the market. Audits need to happen by regulatory agencies to ensure shorts and FTDs are not being hidden in options. Punishments need to be severe enough to ensure it doesn't continue, and in a timely manner. Large hedgefunds and Market Makers are run by the same company. They need to be broken up. High frequency low volume trades done in dark pools are being used to influence stock pricing. This market manipulation needs to be clamped down on, enforced, and punished with heavy fines.
For the Public
FINRA DATA
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
FINPRO
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
FINRA GATEWAY
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
For Case Participants
DR PORTAL
Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.
Need Help? | Check System Status
Log In to other FINRA systems
Michael Keller Comment On Regulatory Notice 21-19
Naked shorting is illegal.- Conditions need to be met by regulatory agencies to ensure it doesn't happen including federal sentences for those caught selling naked shorts. If I can’t sell you a car I don’t own than it should be just as illegal to sell shares that don;t exist. Short positions need to be reported daily by funds and market makers, and public notice needs to be reported daily on a public website for that purpose, for all holdings and companies in the market. Audits need to happen by regulatory agencies to ensure shorts and FTDs are not being hidden in options. Punishments need to be severe enough to ensure it doesn't continue, and in a timely manner. Large hedgefunds and Market Makers are run by the same company. They need to be broken up. High frequency low volume trades done in dark pools are being used to influence stock pricing. This market manipulation needs to be clamped down on, enforced, and punished with heavy fines.