L&I funds are used by small investors to level the playing field against large investment firms who use similar instruments to move the market in directions that are counter to publicly traded firms actual performance The idea that small investors should be prevented from using these tools while big money uses them daily to sap the market of legitimate gains is another example wrong thinking. An onerous process to qualify for their use in retail trading firms and their investors is simply not warranted. FINRA would better serve the investment community if they looked into regulating the investment banks and hedge funds that have crashed the economy no less then 5 times in the last century.
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
David Lalonde Comment On Regulatory Notice 22-08
L&I funds are used by small investors to level the playing field against large investment firms who use similar instruments to move the market in directions that are counter to publicly traded firms actual performance The idea that small investors should be prevented from using these tools while big money uses them daily to sap the market of legitimate gains is another example wrong thinking. An onerous process to qualify for their use in retail trading firms and their investors is simply not warranted. FINRA would better serve the investment community if they looked into regulating the investment banks and hedge funds that have crashed the economy no less then 5 times in the last century.