The number of shares in the market directly influences the value of those shares, and therefore the investments holding them. Anything that changes that count, no matter how many or how few, MUST be reported and published in order for investors to make informed decisions. There is NO situation where the dilution or concentration of available shares should be withheld from investors.
We should be able to know what goes on in this insider trading with the but money. The stuff that goes in dark pools as well. All information should be accesible . How is this fair to the retail investor? Just Bc I have a certain amount of money or no money I’m robbed of what I work hard for and it’s never a fair game .
You should not be able to sell something you don’t own. If borrowed; must have in possession and not “ we can get them later”. Also fail to delivers must be covered in a shorter timeframe. Honestly there should not be any fails to deliver. Short information should be readily available and not 2 days out. After the fact.
I would like to see a more transparent market with instant short position reporting to the general public. I would also like to see instant reporting of any failure-to-delivers. I think this information should be public to any retail investor instantly and easily with no delays. I believe this will help limit manipulation and allow the market to be free and fair.
In the Showtime television series “Billions,” the ambitious U.S. attorney Chuck Rhoades, played by Paul Giamatti, is certain that a fictional hedge fund manager Bobby Axelrod, played by actor Damien Lewis, is guilty of insider trading.
“What have I done wrong? Really? Except make money. Succeed,” Axelrod says in his defense in an episode.
There isn’t a clear hero and villain in the television
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? These questions will be answered on the latest episode of FINRA Unscripted, featuring a returning guest, FINRA's Executive Vice President of Member Supervision Greg Ruppert.
The FINRA Board approved FINRA’s 2025 budget and a rulemaking item related to outside business activities and private securities transactions, and appointed new members to the SFAC and NAC.
As an Investor in leveraged ETFs, I very much would like to stop new regulations that would make it more difficult to purchase these securities. I fully understand that these can go up and down far more drastically than the market average and I fully expect that. Investing is risky and I feel like investors can properly determine their own risky tolerance with the information provided.
Register to attend an upcoming webinar to learn about the installation of ProProctor, a Prometric application that FINRA is using to deliver qualification exams online, on company-issued equipment. During these hour-long sessions, FINRA and Prometric technologists will discuss resources available to firm Information Technology staff, and a substantial amount of time will be reserved to answer
Public investments should be available to all of the public, not just the Privileged/Criminals. As the people (MIDDLE SCHOOL/POOR) we understand the conversation mush clearer than previous years. Bad enough our Birth Certificate Bonds (Year 1933 GOLD STANDARD) was stolen from our ancestors, with no education to achieve wealth. FINRA need to cut it out. WE UNDERSTAND INFORMATION
