Summary
FINRA has established a new Supplemental Liquidity Schedule (SLS).1 The new SLS, which members subject to the requirement will need to file as a supplement to the FOCUS Report, is designed to improve FINRA’s ability to monitor for events that signal an adverse change in the liquidity risk of the members with the largest customer and counterparty exposures. FINRA is issuing this Notice to
Join the FINRA Investor Education Foundation, FINRA's Office of the Chief Economist, and NORC at the University of Chicago for a discussion with leaders in academia, industry, and regulators to explore original academic and industry research and the current body of policy governing diversity, equity, and inclusion in the capital markets. During this event, panelists examine methods and
SPAC "units" often consist of shares and warrants — or a fraction of a warrant. The terms of these warrants can vary greatly. Be sure you understand the terms of the specific warrants you are considering as well as the risks associated with the offering.
As long as its possible to sell a share short - but mark it as long - any additional reporting visibility and / or frequency will be diluted by fraudulent data. The only thing that matters is forcing delivery of securities at settlement. As long as its possible to ftd a security sold and never ever deliver it, while at the same time accepting the money for it - none of the rest of this [REDACTED
As long as it’s possible to sell a share short and mark it long, any additional reporting visibility and/or frequency will be diluted by fraudulent data. Delivery of shares at settlement should be a requirement. Failing to deliver a security sold and NEVER EVER having to deliver it is criminal and theft. Transparency is everything. [REDACTED]
I would expect firms, banks, funds, institutions to have to disclose short positions as well as naked short interest as it directly affects company stock value which affects investor's investments. Make it a rule and enforce it.
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
I'm a retail trader. I'm glad strongly in favor of enhanced short and FTD reporting requirements. Knowing the true short interest and quantity of FTDs on a security are important metrics for me when I'm evaluating an investment. There are currently too many ways for large players in the system to obfuscate this information. Please do everything in your power to ensure that true
I support these modifications. I believe that minimizing the reporting gap will limit some types of short selling abuse and market manipulation. Hourly synchronized aggregation and reporting of this data is possible with modern computing and would limit the gray zones in which HFT’s can exploit informational lag.