For the Public
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
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
let us invest and trade, some of us are following newsletters for years. we don't want to now be limited. these investments let us put on a hedge and stay long. don't make us take some test, it is too limiting. free country to learn and invest and we want different ways to balance everything out
Please do not place restrictions on leveraged and inverse ETF's. These funds are an important tool to hedge against market pullbacks, and have been successful for years.
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST! I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on me - nor does anyone else.
Hello, I was saddened to hear the news of regulations that are being considered. I understand where for the concern about protecting individual investors by restricting these assets from being sold. However, I would like to bring up two things that I think are overlooked - 1. The internet 2. Technology The internet now allows investors to easily gather information about these products and become aware on the risks. There is an abundance of information about all these assets that individuals have easy access to obtaining.
Administrators are invited to attend this webinar and learn about Roles, the latest feature available in the new FINRA Account Management System. This new feature streamlines system access management work by allowing you to create and assign custom groups of entitlement privileges.
These products help me hedge against volatility. Why would you remove them?
I do not think this is fair for low networth investor who may not have opportunity to earn high return vs high networth investors. It is discrimination because public investment should be available to everyone without restriction or requirement to obtain any special training. You can give notice of high risk speculation but cannot regulate public investments.
It's my money, I would like to invest however I see fit. Who [REDACTED] are you to tell me what I am capable of understanding, or demand that I have a certain net worth to buy publicly traded securities?!
Public investments should be available to all of the public, not just the privileged, and I am capable of understanding leveraged and inverse funds and their risks, and I use leverage and inverse funds to hedge investments.
It is my belief that any individual should retain the right to make investments as he/she sees fit without the imposition of restrictions if they deem a particular investment to be in their best interest. With particular regard towards leveraged and inverse funds, such an investment helps to create a balanced investment strategy that allows for individuals to hedge their investments. Ample information is made available to understand how such investment vehicles operate and the risks that they entail.