I am a proven investor and know the risks associated with all my trades/investments. I believe as a private investor I should be able to choose the public investments I deem best for me, not regulators. I shouldn't have to go through any tests or special processes or have access to "x" amount of money to invest the money I have worked for. This proposed regulation will only hurt ordinary investors. Leveraged funds are important to the strategies I use to trade and invest, including but not limited to: hedges against down times in the markets, enhanced returns during good time, etc. Again, I am knowledgable but that doesn't mean every one has to be in order to invest in all securities.
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
Spencer Herzog Comment On Regulatory Notice 22-08
I am a proven investor and know the risks associated with all my trades/investments. I believe as a private investor I should be able to choose the public investments I deem best for me, not regulators. I shouldn't have to go through any tests or special processes or have access to "x" amount of money to invest the money I have worked for. This proposed regulation will only hurt ordinary investors. Leveraged funds are important to the strategies I use to trade and invest, including but not limited to: hedges against down times in the markets, enhanced returns during good time, etc. Again, I am knowledgable but that doesn't mean every one has to be in order to invest in all securities.