I'd like to see the market have more transparency of shorts. In today's day and age, there should be 8-15 days to see a company's short percentage. The market information should be available to all investors no matter their size. Also, I feel that the "dark pool" system should be abolished. It too can possibly create uncertainty in the market. Thank you.
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
Data transparency is the hallmark of reliability, responsibility, and accountability. As such, all information about short sale positions, short interest, etc. should be publicly and freely available in real time immediately. Failing that, as soon as possible - which, given the electronic nature of these transactions, ought to be virtually immediately. Anything less increases corruption,
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Effective: Immediately
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Trading
Executive Summary
On October 3, 1997, the Securities and Exchange Commission (SEC) approved, on an accelerated basis, amendments to National Association of Securities Dealers, Inc
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
When does FINRA plan on improving their T+x system so that it’s not so abusable by hedge funds and other institutions? Blockchain for same day settlement? Are any kind of improvements coming on for retail investors in the form of information availability? As in, the info will be available sooner and will actually be relevant content and not 3 months delayed and barely relevant to the market upon
The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information)
We don't need additional regulations on leveraged funds, I want to maintain my freedom to invest in public securities of my choosing. It should be my decision what I invest in, not yours. I don't need you to decide what is suitable for me. If information provided by sellers is truthful you have done your part and it is up to me to decide what investments I wish to make.
