SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceTrading
Executive Summary
The Securities and Exchange Commission (SEC) is reproposing to adopt Rule 13h-l and Form 13H under the Securities Exchange Act of 1934. Originally published for comment in 1991, the proposed rule establishes a system for identifying large-trader accounts and transactions, and places certain
To whom it may concern at FINRA, I am not a very eloquent person, so please note that I have taken bits and pieces of comments and copy/pasted them. Just because I have not articulated these thoughts myself, does not mean that I am any less passionate about the proposed rule changes. Since beginning my journey as a retail investor and learning more about our financial systems I have lost complete
Greetings, Not sure why FINRA has not come out with a report in the last three quarters, but the information it provides is completely valid and incredibly important to me as an individual investor. Also, I wish their was some working enforcement in place to discourage naked short selling and the unethical trade practices being used to manipulate a stocks true value.
1. How do I submit form filings to Web CRD?
Upon completion of a filing...
Please approve the new rules to tighten up short interest reporting requirements. There are too many loopholes that short traders use to hide and obfuscate their true short interest (eg hiding shorts in deep OTM put contracts) which puts retail traders at an information disadvantage, which is anathema to free market principles.
Summary
FINRA requests comment on a proposal to provide additional transparency into delayed Treasury spot trades in corporate debt securities—i.e., corporate bond trades where the dollar price of the trade is based on a spread to a benchmark U.S. Treasury security that was agreed upon at an earlier time on the same day. The proposed changes would provide for immediate transparency into the size
For 20 years, FINRA’s Trade Reporting and Compliance Engine, known as TRACE, has contributed to reduced trade execution costs, facilitated price formation, aided regulatory programs and protected investors, as detailed in a recent blog commemorating this milestone anniversary. As an economist, I’d argue TRACE’s impact extends. For me, some of the real impact is in the research it has enabled.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck® as to whether a particular member firm or former member firm is currently designated as a “Restricted Firm” pursuant to Rule 4111 (Restricted Firm
Accurate short sale tracking is obviously important, but it’s only as useful as the information given on dark pool activities. Dark pool existence, and how those exchanges are able to integrate shares into major exchanges is beyond fraudulent. I appreciate your efforts, but share selling will never be put into check until dark pools are eliminated.
1. When will the Annual Review be available?The Annual Review period is the first 17 business days of the calendar year. The Annual Review section will be available during that time and until the firm completes it.2. Where can I find the Annual Review submitted by my firm?One of the reports available in the FCS Reports section is the Annual Review Report. This report provides the Contacts and
