As an educated individual investor, I should be able to make investment decisions that are right for me and my family. I have a bachelors in engineering and a MBA. I shouldn't have to go through a special test before I can invest in public securities such as inverse and leveraged funds.
Leveraged and inverse funds are important part of my investment strategies. I use both leverage and inverse funds to protect (hedge) my investments and to seek enhanced returns. I use them on a limited basis as is appropriate for my risk tolerance and within my overall investing framework.
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 Henry Comment On Regulatory Notice 22-08
As an educated individual investor, I should be able to make investment decisions that are right for me and my family. I have a bachelors in engineering and a MBA. I shouldn't have to go through a special test before I can invest in public securities such as inverse and leveraged funds.
Leveraged and inverse funds are important part of my investment strategies. I use both leverage and inverse funds to protect (hedge) my investments and to seek enhanced returns. I use them on a limited basis as is appropriate for my risk tolerance and within my overall investing framework.