Edward Maldonado Comment On Regulatory Notice 22-08
Edward Maldonado
N/A
I don't believe FINRA should restrict 'complex' products from average or retail investors. All trading has risks and where does FINRA stop in regards to restricting retail traders, this is a very slippery slope. Sure it makes sense to have brokers post messages on some products, but this feels like a ploy to hurt retail investors not protect them. This should not be considered in any way to move forward.
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
Edward Maldonado Comment On Regulatory Notice 22-08
I don't believe FINRA should restrict 'complex' products from average or retail investors. All trading has risks and where does FINRA stop in regards to restricting retail traders, this is a very slippery slope. Sure it makes sense to have brokers post messages on some products, but this feels like a ploy to hurt retail investors not protect them. This should not be considered in any way to move forward.