Regulators are spending a lot of time informing traders on ways they cant get make money. Its awful to see big name companies and hedge funds find ways to stay rich while regulators focus on stopping retail traders from trading. We dont tell regulators how to do their jobs but we constantly have to hear from then on how we can trade.
As previously announced, beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28 FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
It is my belief that any individual should retain the right to make investments as he/she sees fit without the imposition of restrictions if they deem a particular investment to be in their best interest. With particular regard towards leveraged and inverse funds, such an investment helps to create a balanced investment strategy that allows for individuals to hedge their investments. Ample
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.
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.
The Dispute Resolution Portal (DR Portal) is a self-service system that allows participants in an arbitration or a mediation to log into a secure area of our website so they can submit documents and manage case information.
This data provides comprehensive information for asset-backed securities (ABSs) that traded within the past 10 years. An ABS offers returns based on the repayment of debt owed by a pool of consumers. Learn more about ABSs and other bond types.Fixed Income data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies.
Transparency, accountability and a fair market for all investors. This is what retail investors want. -Frequency in reporting should absolutely be on a daily basis. This should be public information. Not a “pay to play” basis. Companies who profit from hiding this information and selling it, only add to the unfair market advantage faced by retail traders. They will need to adjust their profit
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.
LockBit, one of the most deployed ransomware variants in recent years, continues to impact organizations across the globe, including FINRA member firms. Since November of 2023, FINRA has received reports from several member firms related to cyber incidents allegedly perpetrated by LockBit. The reported incidents varied in severity from no impact to significant disruptions in firms’ business operations. As a result, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision Program is notifying firms of the increased activity of this threat actor to heighten awareness and visibility of this risk. CAU is also providing a compilation of resources that outline effective practices firms may consider in response to this elevated risk.
