Timothy Speicher Comment On Regulatory Notice 22-08
Timothy Speicher
N/A
Public investments should be available for all, not just the wealthy. This includes not including requirements for testing or risk assessment on the part of the government.
Since most of these funds follow (or inverse) the whole market, I have found that they are more stable than other funds. Removing the ability to invest in such things is truly hurting the lower, middle and upper middle class and leaving solid opportunities on the table ONLY for the elite and 1%.
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
Timothy Speicher Comment On Regulatory Notice 22-08
Public investments should be available for all, not just the wealthy. This includes not including requirements for testing or risk assessment on the part of the government.
Since most of these funds follow (or inverse) the whole market, I have found that they are more stable than other funds. Removing the ability to invest in such things is truly hurting the lower, middle and upper middle class and leaving solid opportunities on the table ONLY for the elite and 1%.