Comments:I believe that between the investment risk disclosures from my broker (Schwab) and my full understanding of the necessary monitoring of my accounts on a regular basis relative to these riskier types of investment/trading instruments it should be left up to the individual investor as to whether they feel adequately educated to fully understand what these instruments entail. I don't believe changes or further restrictions to investing in these instruments are necessary and would hate to see an individual investors decision making be impaired or restricted in any way.
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
Steve Ackelson Comment On Regulatory Notice 22-08
Comments:I believe that between the investment risk disclosures from my broker (Schwab) and my full understanding of the necessary monitoring of my accounts on a regular basis relative to these riskier types of investment/trading instruments it should be left up to the individual investor as to whether they feel adequately educated to fully understand what these instruments entail. I don't believe changes or further restrictions to investing in these instruments are necessary and would hate to see an individual investors decision making be impaired or restricted in any way.