Hello. While crafting this new regulatory notice, Im sure the appropriate folks thought they were doing the correct thing. I am not so sure. By limiting what I can and cant buy, this new rule would potentially limit my ability to achieve my long term financial goals. The definition of "complex products" is not well defined. I have spent the time to educate myself and should be able to choose what "complex products" are best for me. No one else should be able to tell me that. As an American and investor, only I should have the right to determine what is in my best interest. Thanks for your consideration.
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
Andrew Lewis Comment On Regulatory Notice 22-08
Hello. While crafting this new regulatory notice, Im sure the appropriate folks thought they were doing the correct thing. I am not so sure. By limiting what I can and cant buy, this new rule would potentially limit my ability to achieve my long term financial goals. The definition of "complex products" is not well defined. I have spent the time to educate myself and should be able to choose what "complex products" are best for me. No one else should be able to tell me that. As an American and investor, only I should have the right to determine what is in my best interest. Thanks for your consideration.