As an individual investor, I should be able to choose public investments that are right for me. I shouldn't need to seek regulator's permission for investment choices that are only for the privileged. I shouldn't have to go through any special process (cooling off periods, passing a test, etc) to be able to invest in public investments. Leveraged and inverse funds a among many investments strategies that should be made available to individual investors.
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
Mark Nockleby Comment On Regulatory Notice 22-08
As an individual investor, I should be able to choose public investments that are right for me. I shouldn't need to seek regulator's permission for investment choices that are only for the privileged. I shouldn't have to go through any special process (cooling off periods, passing a test, etc) to be able to invest in public investments. Leveraged and inverse funds a among many investments strategies that should be made available to individual investors.