Markets are made up by 2 sides and investors should have the freedom to choose to stand on either side of an investment, whether it's on forecast of high demand or low demand. That's the definition of a free market.
In terms of leverage I support that brokerage be very clear in its warning about the high risk potential of such investment tools, but once investor opts in it's a sign-off on accepting such a risk at his/her own benefit and/or peril. Do retail investors have to ask to be treated as functioning adults?
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
Michael Liao Comment On Regulatory Notice 22-08
Markets are made up by 2 sides and investors should have the freedom to choose to stand on either side of an investment, whether it's on forecast of high demand or low demand. That's the definition of a free market.
In terms of leverage I support that brokerage be very clear in its warning about the high risk potential of such investment tools, but once investor opts in it's a sign-off on accepting such a risk at his/her own benefit and/or peril. Do retail investors have to ask to be treated as functioning adults?