finra

FINRA Alert! Short Interest – What It Is, What It Is Not. In post, FINRA calls out how some websites might be redistributing the Short Sale Volume Daily File and refer to the data as “short interest,” incorrectly.

by Dismal-Jellyfish Source: https://www.finra.org/investors/insights/short-interest What Is Short Interest? To understand what short interest is, we should first talk about short sales. Put simply, a short sale involves the sale of a stock an investor does not own. When an investor engages in short …

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FINRA Alert! Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 to Enhance TRACE Reporting Obligations for U.S. Treasury Securities.

by Dismal-Jellyfish Source (pdf) Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 to Enhance TRACE Reporting Obligations for U.S. Treasury SecuritiesComments due: 21 days after publication in the Federal RegisterAdditional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 Submit Comments on …

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Sberbank, Gazprom, and Lukoil websites are blocked. FINRA halts trading in $SBRCY, $OGZPY, and $LUKOY, seeks more information from companies following economic sanctions on Russia.

by Law_And_Politics This is not legal advice and I am not your attorney. TL;DR: It appears there are no real restrictions on trading or owning Sberbank and Gazprom ADRs under current sanctions. Market-makers and brokers began halting buying in Russian equities …

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SR-FINRA-2021-030. FINRA is trying to alleviate the impact of trades by introducing delayed treasury spot trades and allowing for higher visibility of trades by giving them a special flag. Bloomberg did not like that, because it “could lead to significant information leakage”.

by laflammaster Caption: Intro-1of2 https://www.finra.org/sites/default/f… Caption: Intro-2of2 https://www.finra.org/sites/default/f… Caption: Delayed Treasury Spot Trades https://www.finra.org/sites/default/f… Caption: Transparency https://www.finra.org/sites/default/f…    

FINRA allows “Bad Actors” in the Securities Industry to exist because a large percentage of its revenue is derived from fines imposed on “Bad Actors” that should be kicked out of the industry.

by jetty42 FINRA is a non-government organization that has been authorized by the US Securities and Exchange Commission (SEC) to regulate Firms and individuals in the US Financial Services Industry. In FINRAs own words “FINRA is dedicated to investor protection and market integrity …

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