Dear SEC, It is OK to obtain a signed statement from an investor, attesting to the fact that he/she has been made aware of the riskiness of certain types of investment. It's also OK if a broker/banker declines to allow certain investments by any customer or client. Beyond that, people must be allowed to make their own assessments and decisions, wise or unwise.
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
Philip Palmer Comment On Regulatory Notice 22-08
Dear SEC, It is OK to obtain a signed statement from an investor, attesting to the fact that he/she has been made aware of the riskiness of certain types of investment. It's also OK if a broker/banker declines to allow certain investments by any customer or client. Beyond that, people must be allowed to make their own assessments and decisions, wise or unwise.