Comments: I have been in this business for over 50 years and one of my primary functions is to educated my client on what they are considering to invest in. It is time well spent so as not to have a customer say you did not tell me this or that. For someone else making the determination that this process was not achieved I am truly disappointed that an investment opportunity I recommended would be denied.
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
Arnold Butkus Comment On Regulatory Notice 22-08
Comments: I have been in this business for over 50 years and one of my primary functions is to educated my client on what they are considering to invest in. It is time well spent so as not to have a customer say you did not tell me this or that. For someone else making the determination that this process was not achieved I am truly disappointed that an investment opportunity I recommended would be denied.