Appreciate the efforts to keep investors safe. Please believe in them to take the right decisions for themselves. It is paramount that they have the freedom to choose where and how much to invest, in the legal investment avenues of course. I wouldn't mind having to learn more about the risks of certain non-traditional investments, but mandating this would be an overreach in my opinion.
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
Pawan Bhardwaj Comment On Regulatory Notice 22-08
Dear regulators,
Appreciate the efforts to keep investors safe. Please believe in them to take the right decisions for themselves. It is paramount that they have the freedom to choose where and how much to invest, in the legal investment avenues of course. I wouldn't mind having to learn more about the risks of certain non-traditional investments, but mandating this would be an overreach in my opinion.
Best regards,
Pawan