Is this more government overreach? It seems so. I would think that most investors would consult their broker before engaging such products. Furthermore, people should only be investing money they can afford to lose, correct? Perhaps extra warnings are warranted, but not extra regulations.
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
Doug Richards Comment On Regulatory Notice 22-08
Is this more government overreach? It seems so. I would think that most investors would consult their broker before engaging such products. Furthermore, people should only be investing money they can afford to lose, correct? Perhaps extra warnings are warranted, but not extra regulations.