The choice of which investment products to buy is my choice, and should not be the choice of regulators.
I completely understand the risks these products carry. I do not need new regulations or tests imposed on me that limit my ability to purchase public leveraged securities.
I use leveraged securities to generate income weekly with a variety of strategies, and regulatory limits on my investment activities will adversely impact my ability to earn supplementary income.
I urge you not to enact testing requirements, limits, demonstrations of net worth or any other measureson any publicly available leveraged securities.
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
Daniel Doherty Comment On Regulatory Notice 22-08
The choice of which investment products to buy is my choice, and should not be the choice of regulators.
I completely understand the risks these products carry. I do not need new regulations or tests imposed on me that limit my ability to purchase public leveraged securities.
I use leveraged securities to generate income weekly with a variety of strategies, and regulatory limits on my investment activities will adversely impact my ability to earn supplementary income.
I urge you not to enact testing requirements, limits, demonstrations of net worth or any other measureson any publicly available leveraged securities.