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 Buried and outdated short interest reports serve only those who have short positions they wish to remain hidden and those who abuse FTD and naked shorting loopholes to manipulate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 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, regulatory operations programs).
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Consolidated Audit Trail (CAT) topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Hello, I wholeheartedly support FINRA's step toward a slightly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would
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Effective June 1, 1995, the Securities and Exchange Commission (SEC) is adopting Rule 17a-23 and Form 17A-23 under the Securities Exchange Act of 1934. The Rule requires broker/dealers that operate automated trading systems to maintain participant, volume, and transaction
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