Boris Bernstein Comment On Regulatory Notice 22-08
Boris Bernstein
N/A
Creating additional layers of testing and regulations around existing investment products, especially equity types that have been around for years and are widely used, does not add any value to the existing and new investors. Every investor has it's own right to select his/her own investment options, including inverse, leveraged or cryptocurrency ETFs to name a few. Every investor already educates themselves on the risks and benefits involved with each investment. Creating an additional layer of testing or formal education requirement to invest in certain investment adds zero value to investor, while ONLY supporting education organizations that will be charging money for testing while not adding any value.
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
Boris Bernstein Comment On Regulatory Notice 22-08
Creating additional layers of testing and regulations around existing investment products, especially equity types that have been around for years and are widely used, does not add any value to the existing and new investors. Every investor has it's own right to select his/her own investment options, including inverse, leveraged or cryptocurrency ETFs to name a few. Every investor already educates themselves on the risks and benefits involved with each investment. Creating an additional layer of testing or formal education requirement to invest in certain investment adds zero value to investor, while ONLY supporting education organizations that will be charging money for testing while not adding any value.