I am writing to urge you not to restrict my investment options. I should not be penalized because some naive people refuse to educate themselves about so called " complex investments". If they don't understand what they are doing they should not invest. These investments are generally labelled as far as additional risk involved. I actually use options and inverse funds to reduce risk. I feel these should be readily available tools. Leverage is a basic principal of investing.
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 Ganguet Comment On Regulatory Notice 22-08
I am writing to urge you not to restrict my investment options. I should not be penalized because some naive people refuse to educate themselves about so called " complex investments". If they don't understand what they are doing they should not invest. These investments are generally labelled as far as additional risk involved. I actually use options and inverse funds to reduce risk. I feel these should be readily available tools. Leverage is a basic principal of investing.