I think none of the rule are being put in place are followed by hedge funds,payment for Oder flow should be ban, short selling should be cut to a minimum,the threshold list they’re not following,these people makes the market look bad we as retail investors see all the manipulation and are tried of it now what are the regulators are going to do about it.
Fail to deliver data should be reported more frequently preferably daily. Also short seller data should be far more transparent, require daily reporting of short positions, no longer allow covering shorts with options contracts, and the short sale reduction rule should be overhauled to not allow short selling at all once triggered.
The technology is available for T+0, we are fighting with companies who have the whole picture, yet we retail investors have to wait two days. We need more transparency, along with detailed rule enforcement, but overall we need more transparency, the retail investor knows that the tables are tilted towards the large institution. It is an unfair advantage.
Enforcement and transparency. There is no enforcement on the rules that are already in place. SSR is not enforced at all. T+0 settlement, ban payment for order flow, stop routing all our buys through dark pools (the dark pools are not being used as inteded), add real punishments for repeat offenders (jail time), force shorts to cover their synthetic shares.
Effective Date: July 19, 1999
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Remarks by Executive Vice President Thomas M. Selman at the IRI Government, Legal and Regulatory Conference
<p>The FINRA Board of Governors will consider the following rulemaking items at its December 2015 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.</p>
On Oct. 16, 2024, the Cybersecurity & Infrastructure Security Agency (CISA) released Cybersecurity Advisory - AA24-290A, which provides threat actors’ tactics, techniques, and procedures (TTPs) and indicators of compromise (IOCs) associated with Iranian cyber actors. In light of the historical proclivity of Iranian threat actors targeting the financial services industry, FINRA is sharing this information with member firms.
<p>If a member transmits orders to buy and sell TRACE-eligible securities to other broker-dealers for the benefit of various proprietary accounts of foreign affiliates of the member, the member is acting as agent and must report the transactions under Rule 6230.</p>
(a)(1) Unless otherwise permitted by FINRA, a member shall not enter into an agreement for the carrying, on an omnibus or fully disclosed basis, of any customer account in which securities transactions can be effected ("customer account" or "account"), unless such agreement is with a carrying firm that is a FINRA member. An introducing firm that acts as an intermediary for
