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It feels like all these additional hurdles and restrictions are being considered to benefit the larger hedge funds and money managers and restrict individual investors from access. I have always been able to choose the type of investments that are right for me and my family, I understand the risks as well as benefits to investing. I am an adult and would like to continue the freedom of choice in
As a retail investor, I would like to even the playing field with institutional investors by allowing us the same access to information that they have, especially regarding short positions. Also, in addition to that, I would like short positions to have to be reported daily by no later than 30min after closing bell. This is MORE than enough time for them to calculate their total shorts taken that
I would love to have complete transparency in the market. Synthetic, naked shorts, all of it. Regulate the trading to make it fair. No high frequency trading algorithms that can easily manipulate the market and prevent retail investors from having a fair shot. I would really like to see all short information reported daily. Lastly, actual enforcement by the SEC of malpractice, instead of slaps on
I applaud FINRA’s proposed rule changes and support any rule that makes short interest visible to all investors. Free and fast information leads to better price discovery for all. Buried and outdated short interest reports serve only those who have short positions they wish to remain hidden and those who abuse FTD and naked shorting loopholes to manipulate prices. These actions hurt all investors
Hello FINRA, There needs to be way more transparency when it comes to short selling. It seems short sellers have endless loopholes that allow them to “hide” their true short positions. It certainly appears the lack of rule enforcement and lack of short sell information gives the hedge funds and MMs an unfair upper hand compared to retail investors. Fairness, enforcing rules and providing all
I’m sure you will get many comments but it would be nice to see more details on how companies are shorted in a given day as well as something which details what is considered market manipulation and how to report it because many “investors” feel they are getting a raw deal with hedge funds. I believe rules should be in place that a hedge fund cannot pay brokers for trade information especially
The Neutral Corner - Volume 3—2023
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Senior ManagementInternal AuditLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved an amendment to Article III, Section 28 of the NASD Rules of Fair Practice requiring an associated person to notify the employer member in writing
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA