I should be able to choose the public investments that are right for my individual and family savings. I am capable of understanding leverage and inverse funds and their risks. I do not need these measures imposed on me.
Leveraged and inverse funds are important investment strategies. I use them to help hedge, seek enhanced returns, and for overall portfolio construction purposes. These are much more than simple one off trading vehicles and curtailment of access greatly impedes retail access to these useful tools.
Recent advancements in retail offerings have brought access to tools previously only reserved for the wealthiest investors and institutions. Please do not limit access for me and millions of others like me.
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
Scott Mootz Comment On Regulatory Notice 22-08
I should be able to choose the public investments that are right for my individual and family savings. I am capable of understanding leverage and inverse funds and their risks. I do not need these measures imposed on me.
Leveraged and inverse funds are important investment strategies. I use them to help hedge, seek enhanced returns, and for overall portfolio construction purposes. These are much more than simple one off trading vehicles and curtailment of access greatly impedes retail access to these useful tools.
Recent advancements in retail offerings have brought access to tools previously only reserved for the wealthiest investors and institutions. Please do not limit access for me and millions of others like me.