Intellivest Securities, Inc. Comment On Regulatory Notice 26-06
Please accept the following comments regarding Modernizing FINRA Arbitration
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Please accept the following comments regarding Modernizing FINRA Arbitration
To Whom It May Concern:
I respectfully urge FINRA to reconsider the current policy requiring publication of customer complaints regardless of merit, validation, or regulatory finding.
My concern is not abstract. It arises from direct experience.