I have been invested for a number of years in a number of products that are being considered for additional regulation, including CEFs, target date funds, high yield bond funds, leveraged/inverse funds, and crypto-backed funds. I researched these funds before investment, and expect anyone else would as well.
These funds have been some of the most productive in my portfolio, and I think anyone with funds to invest should be allowed to.
Requiring testing by a regulator, permission from a broker, proving high net worth, or forced cooling off periods are unnecessary hurdles that should not be required for the average retail investor.
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
Chad Treece Comment On Regulatory Notice 22-08
I have been invested for a number of years in a number of products that are being considered for additional regulation, including CEFs, target date funds, high yield bond funds, leveraged/inverse funds, and crypto-backed funds. I researched these funds before investment, and expect anyone else would as well.
These funds have been some of the most productive in my portfolio, and I think anyone with funds to invest should be allowed to.
Requiring testing by a regulator, permission from a broker, proving high net worth, or forced cooling off periods are unnecessary hurdles that should not be required for the average retail investor.