I do understand the concerns with the many options for self directed investing/trading available to people today. I believe if a broker/advisor offers a risk disclosure and the customer acknowledges it, then it's the responsibility of the customer going forward. I do agree that disclosures should layout, in simple terms, the pros and cons of the investment. Resources should also be available in cases where the customer needs more clarification. But, implementing all sorts of regulations and restrictions seems to penalize the many average responsible investors for the few that plunge into complex investments recklessly. If a person is lied to that's one thing, but sometimes an education costs....please don't over regulate our opportunities.
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
Rick Comment On Regulatory Notice 22-08
I do understand the concerns with the many options for self directed investing/trading available to people today. I believe if a broker/advisor offers a risk disclosure and the customer acknowledges it, then it's the responsibility of the customer going forward. I do agree that disclosures should layout, in simple terms, the pros and cons of the investment. Resources should also be available in cases where the customer needs more clarification. But, implementing all sorts of regulations and restrictions seems to penalize the many average responsible investors for the few that plunge into complex investments recklessly. If a person is lied to that's one thing, but sometimes an education costs....please don't over regulate our opportunities.