WASHINGTON – The FINRA Board of Governors has appointed Sam Deshpande as a new public Governor. Deshpande is Chief Information Officer for Humana, a U.S. health insurance company. His term on the FINRA Board begins immediately, and he will join the Board at its upcoming Board of Governors meeting on July 21-22.
Deshpande became Humana’s CIO in July 2021, and is responsible for managing all of
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
1. Enforcement should be as immediate as possible. 2. Transparency : Give detailed numbers, company names and extended information on your investigation. 3. Bigger fines. Let's be real. The fines you're giving are symbolic. What's even the point exactly? 4. Kinda unrelated but maybe the best way to enforce those ruled is for finra to cease to exist? And be replaced by a public
FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
Report short interest and all relevant information DAILY. End loopholes allowing short interest to be artificially hidden with “married calls/puts.” Do something about the relentless and abusive practice of naked shorting. Everyone sees it but the general public cannot do anything about it. Are shares of everything we own are getting significantly and artificially devalued through this rampant
All information regarding what is happening on the stock exchange should be made public, otherwise the „game” is not fair. Short positions should be reporter and tracked daily. The lack of transparency only creates opportunities for Big players. A great example was set by regulators in South Korea who recently made the fines surrounding synthetic/naked shorting/FTDs to appropriately (!) reflect
Dark pools need to be eliminated and naked shorts are ILLEGAL but are still an ongoing practice among hedge funds. SSR needs to also be enforced much better. The hedge funds are able to do whatever they want and don't get punished for their actions. SEC, please step up and stop illegal practices and be more transparent in regards to stock market information.
I want much more transparency in the market, especially when it comes to buy/sell orders in ATS. All information market makers have when it comes to filing for a short position should be just as accessible to retail traders. Lastly, short positions buys/sell should be disclosed the day of filing. No more T+ nonsense. Thank you kindly, I hope this helps.
At FINRA, we’re the first line of oversight for the brokerage industry. And our employees are the defenders along that line, ensuring every day that we protect the investing public against fraud and other violations of FINRA rules and the federal securities laws.
We’ve built a framework and cultivated a mindset, a culture for innovation and collaboration. It not only helps ensure the securities
Summary
FINRA has adopted amendments to Rule 2231 (Customer Account Statements) to add eight new supplementary materials pertaining to:
compliance with Rule 4311 (Carrying Agreements);
the transmission of customer account statements to other persons or entities;
the use of electronic media to satisfy delivery obligations;
compliance with Rule 3150 (Holding of Customer Mail);
the information
