This seems ill designed to solve the problem. Another self reporting requirement is not going to help. There will just be more reporting violations that don't change the bad behavior we're trying to deter. FINRA and the SEC should build onto or leverage this with their FINRA CAT. There are far too many rules and many seem not to be designed very well; scrap those rules and outdated forms, write new rules that are straightforward and make sense, and use the technology and data we have today for a true solution.
For the Public
FINRA DATA
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
FINPRO
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
FINRA GATEWAY
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
For Case Participants
DR PORTAL
Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.
Need Help? | Check System Status
Log In to other FINRA systems
Anonymous-JJ Comment On Regulatory Notice 21-19
This seems ill designed to solve the problem. Another self reporting requirement is not going to help. There will just be more reporting violations that don't change the bad behavior we're trying to deter. FINRA and the SEC should build onto or leverage this with their FINRA CAT. There are far too many rules and many seem not to be designed very well; scrap those rules and outdated forms, write new rules that are straightforward and make sense, and use the technology and data we have today for a true solution.