I have been a professional investor for 35 years and have taught investment management to MBA students at a Tier 1 University for 20 years. During this time I have had interactions with investors at all levels of investing knowledge and experience, and believe it is imperative that all public securities remain freely available to all investors. To try and regulate who can and cannot invest in certain public securities is yet another tyrannical overreach into the private business of individuals. Furthermore, it will contribute further to the expanding wealth gap by denying predominantly lower income / less educated individuals with the right to invest in the public markets as they choose including allowing them to hedge their bets and seek enhanced returns. Finally, such proposed measures continue the government's insulting (and wrong) view that the American people are too "dumb" to understand these securities. In my lengthy experience the exact opposite is true.
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
Jill Foote Comment On Regulatory Notice 22-08
Dear FINRA regulators,
I have been a professional investor for 35 years and have taught investment management to MBA students at a Tier 1 University for 20 years. During this time I have had interactions with investors at all levels of investing knowledge and experience, and believe it is imperative that all public securities remain freely available to all investors. To try and regulate who can and cannot invest in certain public securities is yet another tyrannical overreach into the private business of individuals. Furthermore, it will contribute further to the expanding wealth gap by denying predominantly lower income / less educated individuals with the right to invest in the public markets as they choose including allowing them to hedge their bets and seek enhanced returns. Finally, such proposed measures continue the government's insulting (and wrong) view that the American people are too "dumb" to understand these securities. In my lengthy experience the exact opposite is true.
Thank you for your consideration of my comments.