Benjamin Farris Comment On Regulatory Notice 22-08
Benjamin Farris
N/A
I understand the reasoning for this regulations but feel they are much too strict and will penalize investors who understand the additional risks and leveraged funds perfectly but don't have high net worth. I think it's pretty clear that high net worth certainly doesn't make you a responsible investor and the opposite is just as true if not moreso.
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
Benjamin Farris Comment On Regulatory Notice 22-08
I understand the reasoning for this regulations but feel they are much too strict and will penalize investors who understand the additional risks and leveraged funds perfectly but don't have high net worth. I think it's pretty clear that high net worth certainly doesn't make you a responsible investor and the opposite is just as true if not moreso.