I want to comment regarding proposed restrictions on "complex" investment products. I 100% think disclosures should be provided regarding "complex products" but I do not think it is FINRA's job to be my mother and decide what I can, and what I cannot invest in. I am an adult, and I should be able to choose what I invest in, and I alone should bear the consequences of my decision.
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
Paul Roden Comment On Regulatory Notice 22-08
I want to comment regarding proposed restrictions on "complex" investment products. I 100% think disclosures should be provided regarding "complex products" but I do not think it is FINRA's job to be my mother and decide what I can, and what I cannot invest in. I am an adult, and I should be able to choose what I invest in, and I alone should bear the consequences of my decision.