I do not feel that I should be restricted or hampered from investing in these types of funds just because someone (who doesn't even know me) feels I'm not capable of undrestanding the risks. I also feel that I should not have to go through any process that will make it more difficult for me to continue to invest in these types of funds. As such, I strongly oppose restrictions to my investment rights.
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
Steven Morman Comment On Regulatory Notice 22-08
I do not feel that I should be restricted or hampered from investing in these types of funds just because someone (who doesn't even know me) feels I'm not capable of undrestanding the risks. I also feel that I should not have to go through any process that will make it more difficult for me to continue to invest in these types of funds. As such, I strongly oppose restrictions to my investment rights.