Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
I believe it’s the utmost importance that the short report of any kind, should be an information declared daily. Only then we shall have a market more equal and attractive to retail and everyone else. I appreciate very much the opportunity to let our voices be heard. Thanks, Felipe Borges
As a retail investor, I think it is so important to get accurate data. With the amount of fines and rules that have been broken by brokers, we cannot allow for a self-reporting system to continue. We need massive overhauls in our system and it starts with having accurate information, especially when it comes to short interest.
I would like to see more information and transparency in reporting of short sale positions. I am a retail investor and would like an even playing field with hedge funds. I understand that other markets have stopped the short share positions to stimulate the economy. Thank you for your time
I urge you NOT to restrict ordinary investors from trading leveraged and inverse ETFs for the following reasons:
1. Inverse and inverse leveraged ETFs are often the only vehicles available to ordinary investors to hedge their cash and retirement accounts in a down market, or even to profit from down markets. Wealthy investors have many means to do this. Taking these products away from ordinary
From our review of FINRA’s website information on diversity and Regulatory Notice 21-17, it is our opinion that your efforts are commendable and on target to promoting and encouraging diversity in the industry and at FINRA. The programs that you have established e.g. your Internal Racial Justice Task Force, Annual Diversity Summit and the Racial Justice Task Force should help identify barriers to
(a) Each carrying or clearing member shall submit to FINRA, or its designated agent, at such times as may be designated, or on an ongoing basis, in such form and within such time period as may be prescribed, such financial and operational information regarding the member or any of its correspondents as FINRA deems essential for the protection of investors and the public interest.
(b) Every
Recordings of sessions are available to FINRA member firms and CRCP graduates. View the recorded sessions from the 2020 FINRA Cybersecurity Conference, and receive access to all conference materials. View the conference brochure for a list of sessions and their descriptions.
Register to View the Sessions
FINRA Member Firms
CRCP Graduates
For registration or technical questions,
Andrew Dobry joined FINRA in 2020 as a Vice President within Internal Audit. Andrew leads the Information Technology Audit Team, which provides assurance over the security and integrity of FINRA’s information assets.
Mr. Dobry has over 35 years of experience in corporate audit roles. Prior to joining FINRA, Mr. Dobry was employed by Booz Allen Hamilton, with roles as Chief Audit Executive and
