I am outraged that you call Structured Product "complex investments." How can you paint these products with such a broad brush? Frequently companies use futures to hedge against many risks. Why not call their stocks complex investments as well? I believe simply informing clients of the risks, as our firm does with all the investments we sell, should suffice with any risk disclosure. We are not here to quiz clients and grade clients on their knowledge. Furthermore, we are not here to design tests and be graded on their efficacy.
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
Jed Bandes Comment On Regulatory Notice 22-08
I am outraged that you call Structured Product "complex investments." How can you paint these products with such a broad brush? Frequently companies use futures to hedge against many risks. Why not call their stocks complex investments as well? I believe simply informing clients of the risks, as our firm does with all the investments we sell, should suffice with any risk disclosure. We are not here to quiz clients and grade clients on their knowledge. Furthermore, we are not here to design tests and be graded on their efficacy.