As a 'retail investor' I support these measures. I have investments with professional financial advisors/brokers as well as my own self guided investments. I can honestly say if I were to get into complex products such as options, leveraged funds, etc I would not understand the true risks I was taking. I trust my financial advisor/broker to understand and manage these risks, so I would prefer to not lose the opportunity to participate in these types of products through them as a fiduciary. I agree that many people such as myself would not understand the risks they would be taking, and have concerns about these types of products destabilizing the system. I relate it to the mortgage/housing crisis that was fueled by greed and manipulation rather than sound practices.
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
Jared Andersen Comment On Regulatory Notice 22-08
As a 'retail investor' I support these measures. I have investments with professional financial advisors/brokers as well as my own self guided investments. I can honestly say if I were to get into complex products such as options, leveraged funds, etc I would not understand the true risks I was taking. I trust my financial advisor/broker to understand and manage these risks, so I would prefer to not lose the opportunity to participate in these types of products through them as a fiduciary. I agree that many people such as myself would not understand the risks they would be taking, and have concerns about these types of products destabilizing the system. I relate it to the mortgage/housing crisis that was fueled by greed and manipulation rather than sound practices.