To Whom It May Concern, The proposed regulation, while put forth with genuine intent is not fully appreciating the consequences. Needing to prove knowledge with testing requirements on a relatively basic product is overly cumbersome on an already overwhelmed regulatory body. These investment products afford retail investors an opportunity to participate in a more aggressive strategy to build wealth that would otherwise be unavailable to most. Each invest house includes more than adequate notices and information for investors should they need further education, duplicative to what FINRA would be adding on. I urge you to reconsider this additional regulation on necessary products for sound investment strategy.
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
Adam Dings Comment On Regulatory Notice 22-08
To Whom It May Concern, The proposed regulation, while put forth with genuine intent is not fully appreciating the consequences. Needing to prove knowledge with testing requirements on a relatively basic product is overly cumbersome on an already overwhelmed regulatory body. These investment products afford retail investors an opportunity to participate in a more aggressive strategy to build wealth that would otherwise be unavailable to most. Each invest house includes more than adequate notices and information for investors should they need further education, duplicative to what FINRA would be adding on. I urge you to reconsider this additional regulation on necessary products for sound investment strategy.