This is incredibly disappointing and an attack on middle class investors. To limit the ability to invest in certain funds only consolidates power among the wealthy and elites. It proposal only validates the view that FINRA and other regulators arent there to protect anyone except the powerful and elite.
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
Joerg Hendrix Comment On Regulatory Notice 22-08
This is incredibly disappointing and an attack on middle class investors. To limit the ability to invest in certain funds only consolidates power among the wealthy and elites. It proposal only validates the view that FINRA and other regulators arent there to protect anyone except the powerful and elite.