Please note that I do not support this regulation. Once again, unnecessary regulatory oversight will hinder lower net worth investors of money making opportunities. Assuming that high net worth individuals, or investors with significant time in grade equates to being a better investor just isnt true. Appropriate warnings on riskier investments is plenty of good faith effort to protect investors. Please do not initiate this onerous and unfair barrier to investment opportunities such as inverse funds. Thank you.
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 Rhodes Comment On Regulatory Notice 22-08
Please note that I do not support this regulation. Once again, unnecessary regulatory oversight will hinder lower net worth investors of money making opportunities. Assuming that high net worth individuals, or investors with significant time in grade equates to being a better investor just isnt true. Appropriate warnings on riskier investments is plenty of good faith effort to protect investors. Please do not initiate this onerous and unfair barrier to investment opportunities such as inverse funds. Thank you.