After over 40 years of equity trading, I , as other investors, are careful to invest within our own comfort zone and abilities. It is easy to see and understand the possible consequences of leveraged ETF's as well as other funds. I feel the individual is capable of determining what instruments are appropriate for each individual. I feel regulation beyond providing information is unnecessary and restrictions of any kind need to be scrutinized to determine with whom they should be applied, if anyone.
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
James Pauly Comment On Regulatory Notice 22-08
After over 40 years of equity trading, I , as other investors, are careful to invest within our own comfort zone and abilities. It is easy to see and understand the possible consequences of leveraged ETF's as well as other funds. I feel the individual is capable of determining what instruments are appropriate for each individual. I feel regulation beyond providing information is unnecessary and restrictions of any kind need to be scrutinized to determine with whom they should be applied, if anyone.