No citizen should be limited in purchasing these type of investments. It makes sense to insure all investors are given the facts about these investments and should be made to read and agree they understand the investment type. But not to limit them to only special classes of Americans.
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
Frank Hellman Comment On Regulatory Notice 22-08
No citizen should be limited in purchasing these type of investments. It makes sense to insure all investors are given the facts about these investments and should be made to read and agree they understand the investment type. But not to limit them to only special classes of Americans.