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The confidence in the US market is waning and will collapse in time. For too long FINRA's out-dated short interest reporting policy has allowed malicious activities to continue with little to no oversight in the form of abusive and extraordinary over-leveraging of short positions. Many of the policies mentioned in Regulatory Notice 21-19 address the short interest ineffective reporting, yet
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
The blatant corruption from the firms that you watch over is appalling. You must do your job, these bad actors cannot be allowed to get away with a 2008 event again. We are watching. FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority
FINRA 21-19 is a long overdue change needed to bring our markets back into the light. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
In accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor a final User Acceptance Test (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). The test will occur on
To whom it may concern:
I was very concerned to hear of the proposed regulatory changes for leveraged and inverse funds.
While I support the surface notion of FINRA protecting retail investors, I do not believe restricting access to these "complex investments" is in any way an appropriate step.
Education is a worthwhile goal, but mandating licensing or other knowledge tests
I am contacting you to express my opposition to the proposals in Regulatory Notice 22-08. I see no justification for FINRA to restrict public access to any publicly traded financial products, including leveraged EFTs. These securities provide an efficient and economic vehicle for small investors to hedge portfolio risk, a strategy that has now become critical in the aftermath of more than a
As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available with the same log in credentials used to access the FINRA New Issue Form today.
FINRA has now included a training video to assist clients in the transition to the new platform.
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