Hello. I am a supporter of transparency within the stock market. I have found that there are certain holes in the current regulations that make it possible to conceal important and actionable information from the public. These include: The lack of requirements for disclosure of an entity's short positions The lack of daily (or instant if possible) updates as to the current short interest of
Outreach Follows Recent Efforts to Expand Opportunities for Participation
WASHINGTON – FINRA today issued Special Notice 3/31/22 to encourage securities industry professionals and non-industry stakeholders from diverse backgrounds to become involved in FINRA’s advisory committees.
“We welcome and encourage industry professionals and other stakeholders to join a FINRA advisory committee, provide
As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re-platform the FINRA OTC Reporting Facility (ORF) to a new Linux-based operating system.1 This update is in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
ORF currently supports timestamps up to milliseconds. Effective December 5, 2022, ORF
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the first quarter of 2021. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 25, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 24, 2021
1. The most neglected field in investor education is equity market manipulation. New retail investors should be informed about perpetual option fail-to-delivers, married-puts, shorting via exchange-traded-funds, off-exchange trading and selling synthetic shares to manipulate a stock's price. 2. From a retail investor's perspective: An open forum where individual users can share investor
The Reg BI and Form CRS 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.
Comment Period Expires On March 1,
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Executive Summary
At its November 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comments on the National Arbitration Committee's (Committee or NAC) recommendation to establish an NASD Mediation Program to resolve
Michael Dillon, Senior Vice President, Enterprise Delivery Services, oversees FINRA’s assurance, engineering, user experience, operations, development tools and application support services.
Before joining FINRA in February 2006, Mr. Dillon served as the Corporate Director of Quality Assurance for a full-service contractor that specialized in large-scale information systems serving
FINRA is incorporating into its rulebook the rules of New York Stock Exchange LLC ("NYSE") listed below (the "Incorporated NYSE Rules"). The Incorporated NYSE Rules will apply solely to those members of FINRA that are also members of NYSE on or after July 30, 2007 ("Dual Members"), until such time as FINRA adopts a consolidated rulebook applicable to all of its
In a dynamic market, financial regulations change frequently because new technologies and opportunities for investors emerge. As the first line of oversight for the brokerage industry, FINRA is your best resource for information. We serve as a clearinghouse for all the latest compliance news, rules and regulations. Join us at our conferences, educational events and webinars to talk about what the newest developments mean for you.
