First off, it is not your business to determine where I can and cannot invest my money. This is supposed to be a free nation and the ability to control my money and investments is a key function of that freedom. That is on top of the fact that a regulatory agency has no constitutional authority to do it. Even congress would face constitutional challenges if they were to pass something like that as it is an over reach of the powers delegated under the commerce clause.
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
Joshua Shandy Comment On Regulatory Notice 22-08
First off, it is not your business to determine where I can and cannot invest my money. This is supposed to be a free nation and the ability to control my money and investments is a key function of that freedom. That is on top of the fact that a regulatory agency has no constitutional authority to do it. Even congress would face constitutional challenges if they were to pass something like that as it is an over reach of the powers delegated under the commerce clause.