I have seen countless people, both in my personal life and on the internet, lose money investing in complex financial products they never understood. Many times no explanation at all was available, and there was almost never a test to see if they could understand and retain an explanation if one was provided. I am only in my mid-twenties-- these people are meaningfully worse off for the rest of their lives. Please rein in the sophisticated salesmen of these financial products.
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
Sean Reilly Comment On Regulatory Notice 22-08
I have seen countless people, both in my personal life and on the internet, lose money investing in complex financial products they never understood. Many times no explanation at all was available, and there was almost never a test to see if they could understand and retain an explanation if one was provided. I am only in my mid-twenties-- these people are meaningfully worse off for the rest of their lives. Please rein in the sophisticated salesmen of these financial products.