If people can go to a local casino and gamble away their entire life savings with zero regulation, they should be able to make investment decisions without strict regulation that limits them more than it protects them. These regulations also do more to separate the wealthy from those who arent yet wealthy by taking away some of the pathways to even getting there. This is not protecting anyone and only hurting millions of people who have done nothing wrong.
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
Brant Moore Comment On Regulatory Notice 22-08
If people can go to a local casino and gamble away their entire life savings with zero regulation, they should be able to make investment decisions without strict regulation that limits them more than it protects them. These regulations also do more to separate the wealthy from those who arent yet wealthy by taking away some of the pathways to even getting there. This is not protecting anyone and only hurting millions of people who have done nothing wrong.