I believe that restricting leveraged and inverse ETFs is unnecessary as existing prospectuses already list and explain risks associated with these investments. Although I have passed the series 65, I see no reason that this certification or any other certifying exam would be necessary or beneficial to invest in these ETFs.
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
William Dirkes Comment On Regulatory Notice 22-08
I believe that restricting leveraged and inverse ETFs is unnecessary as existing prospectuses already list and explain risks associated with these investments. Although I have passed the series 65, I see no reason that this certification or any other certifying exam would be necessary or beneficial to invest in these ETFs.