You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the right to share your views, but the regulators are required to take your comments into consideration in deciding whether to move forward. Thank you for taking action. LIST OF INVESTMENTS THAT MAY BE AT RISK: Target Date Funds Non-Traditional Index Funds (Smart Beta + ESG) Emerging Market Funds High Yield Bond Funds Closed-end Funds Commodity Funds Cryptocurrency Funds Unconstrained Bond Funds Floating-rate/Leveraged Loan Funds Leveraged/Inverse Products Interval Funds Global Real Estate Funds ETNs Variable Annuities Defined Outcome ETFs Volatility-Linked Funds Currency Funds Funds using cryptocurrency futures Non-traded REITs Business Development Companies Opportunistic and Tactical, Multi-Strategy Funds Funds using derivatives for hedging or leverage Principal Protected Notes Structured Notes Asset-Backed Securities Funds Selling Short Start-up Company (IPO) Funds Funds Investing in Unlisted Securities Distressed Debt Funds Absolute Return Funds Finds of Hedge Funds Reverse Convertible Notes Market-linked CDs Range Accrual Notes Insurance-Linked Securities Privacy Statement To review FINRAs notice, visit https://www.finra.org/rules-guidance/notices/22-08. You shouldn't have to go through any special process like passing a test before you can invest in public securities. Explain that you are capable of understanding your investments and their risks. Tell regulators you do not need these measures imposed on you. Other reasons you think these restrictions on your right to invest should not be put in place. SUBMIT A PUBLIC COMMENT
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
Dennis Helms Comment On Regulatory Notice 22-08
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the right to share your views, but the regulators are required to take your comments into consideration in deciding whether to move forward. Thank you for taking action. LIST OF INVESTMENTS THAT MAY BE AT RISK: Target Date Funds Non-Traditional Index Funds (Smart Beta + ESG) Emerging Market Funds High Yield Bond Funds Closed-end Funds Commodity Funds Cryptocurrency Funds Unconstrained Bond Funds Floating-rate/Leveraged Loan Funds Leveraged/Inverse Products Interval Funds Global Real Estate Funds ETNs Variable Annuities Defined Outcome ETFs Volatility-Linked Funds Currency Funds Funds using cryptocurrency futures Non-traded REITs Business Development Companies Opportunistic and Tactical, Multi-Strategy Funds Funds using derivatives for hedging or leverage Principal Protected Notes Structured Notes Asset-Backed Securities Funds Selling Short Start-up Company (IPO) Funds Funds Investing in Unlisted Securities Distressed Debt Funds Absolute Return Funds Finds of Hedge Funds Reverse Convertible Notes Market-linked CDs Range Accrual Notes Insurance-Linked Securities Privacy Statement To review FINRAs notice, visit https://www.finra.org/rules-guidance/notices/22-08. You shouldn't have to go through any special process like passing a test before you can invest in public securities. Explain that you are capable of understanding your investments and their risks. Tell regulators you do not need these measures imposed on you. Other reasons you think these restrictions on your right to invest should not be put in place. SUBMIT A PUBLIC COMMENT