I am a fully informed investor & 20+ year Investment Advisor who should be able to invest in levered & inverse funds any time. Ive been given the Prospectus before each trade. I know how they work. Dont take away my right to own them. That would be a huge government overreach & not a good use of taxpayer dollars.
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
Thomas Carney Comment On Regulatory Notice 22-08
I am a fully informed investor & 20+ year Investment Advisor who should be able to invest in levered & inverse funds any time. Ive been given the Prospectus before each trade. I know how they work. Dont take away my right to own them. That would be a huge government overreach & not a good use of taxpayer dollars.