The current safeguards in place to make investors aware of the risk of leveraged investments are currently sufficient. Any requirements to demonstrate a certain net worth or adding additional barriers to the investment process will hurt individuals' ability to invest and create further inequities in terms of who has access to particular securities.
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
Jenny Wanger Comment On Regulatory Notice 22-08
The current safeguards in place to make investors aware of the risk of leveraged investments are currently sufficient. Any requirements to demonstrate a certain net worth or adding additional barriers to the investment process will hurt individuals' ability to invest and create further inequities in terms of who has access to particular securities.