While I agree with regulators trying to protect investors, denying only certain investors access to certain investments is a step further in the wrong direction. Regulators and government need to start enforciing the current laws and regulations more fairly and less selectively, and more quickly, than we are seeing today.
Thanks
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
Gordon Frank Comment On Regulatory Notice 22-08
While I agree with regulators trying to protect investors, denying only certain investors access to certain investments is a step further in the wrong direction. Regulators and government need to start enforciing the current laws and regulations more fairly and less selectively, and more quickly, than we are seeing today.
Thanks