Dear Sirs, As a US citizen, I believe I have the right to choose my own investment for myself and my own family using any public investment vessels. This right should come with no further official regulation to decide if I am qualified in knowledge or risk taking since it's my own decision based on my own due diligence. In the past 20 years, Fed kept relaxing credits in order to save
The FINRA 21-19 is a long waited change in the stock market. The integrity of the US stuck market has been tarnished. So much in fact that is teders on the edge of collapse. This is partially caused by the risks surrounding short interest reporting under the regulation of FINRA. Even though FINRA 21-19 focusses on a broader spectrum of ineffective reporting, the certain gaps in the 21-19 could
While I understand that this RFC is for members to provide feedback, I would like to provide some general comments as an individual investor who makes extensive use of geared ETFs. Accordingly, most of my comments are "geared" towards them (sorry, had to!). For your consideration:
1. There is no relationship or similarity between the various products outlined in this RFC.
SUGGESTED ROUTING*
Senior ManagementLegal & complianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1988-89 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a
SEC Approves Amendment To Section 65 Of Uniform Practice Code
On November 30, 1994, the SEC approved an amendment to Section 65 of the Uniform Practice Code relating to customer account transfers. The NASD filed the amendments along with other amendments to the NASD's rules designed to implement the SEC's mandate to move to T+3 settlement of securities transactions. Although the SEC
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
The term "the Exchange," when used with reference to the administration of any rule, means the New York Stock Exchange LLC or the officer, employee, person, entity or committee to whom appropriate authority to
Dear Finra, I am writing to you because of the corruption being held in wall street by Hedge funds such as Citadel. CITADEL who carry the order flows for the excahange amounting nearly to 40% to 47%. This data was specified by Ken griffin himself when he was asked to testify in front of Congressmen in which he was accused of performing manipulative practices regarding Game stop by restricting
Shorting is common practice within the securities market and usually helps balance prices of securities relative to the value of the security & the speed at which they've grown. There is nothing wrong with shorting, however there is a huge problem when certain stocks and securities have over 100 percent of outstanding shares shorted. This is mathematically impossible with the only
Good evening FINRA, While these increased reporting requirements around the currently broadly abused short selling practices in the stock market (including naked shorting, mis-reporting longs as shorts, re-hypothecated shares, married puts/calls, and fails to deliver) are a step in the right direction, the proposed changes do not go far enough to provide transparency and fairness to the public. I
