Christopher Boozell Comment On Regulatory Notice 22-08
Christopher Boozell
N/A
Regulating plans such as pensions and retirement plans (401k, 403b, etc), where the saver/investor has little to no input on how the fiduciary treats their money is wise.
REMOVING ACCESS TO VALUABLE INVESTMENT TOOLS FOR THE INDIVUAL INVESTOR, MAKING THEIR OWN DECISIONS, IS NOT.
Please do not make it harder for me and my family to invest our assets in a way that meets our needs!
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
Christopher Boozell Comment On Regulatory Notice 22-08
Regulating plans such as pensions and retirement plans (401k, 403b, etc), where the saver/investor has little to no input on how the fiduciary treats their money is wise.
REMOVING ACCESS TO VALUABLE INVESTMENT TOOLS FOR THE INDIVUAL INVESTOR, MAKING THEIR OWN DECISIONS, IS NOT.
Please do not make it harder for me and my family to invest our assets in a way that meets our needs!