I should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before I can invest in public securities,
like leveraged and inverse funds. Explain that I am
capable of understanding leveraged and inverse funds
and their risks. I do not
need these measures imposed on me.
Leveraged and inverse funds are important to my
investment strategies they help me
protect (hedge) my investments or seek enhanced returns,
I use them as a limited part of my overall portfolio.
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
Lucy Lu Comment On Regulatory Notice 22-08
I should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before I can invest in public securities,
like leveraged and inverse funds. Explain that I am
capable of understanding leveraged and inverse funds
and their risks. I do not
need these measures imposed on me.
Leveraged and inverse funds are important to my
investment strategies they help me
protect (hedge) my investments or seek enhanced returns,
I use them as a limited part of my overall portfolio.