The idea of the simpletons at the SEC deciding what investors can and can't do with their money is appalling to me. In a world where stock manipulation is rampant, perhaps there are other things you could do rather than assume that the public is too stupid to understand the risks involved with their investment decisions. Even if that were true, it should not be within the scope of the SEC to insert itself.
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
David Walker Comment On Regulatory Notice 22-08
The idea of the simpletons at the SEC deciding what investors can and can't do with their money is appalling to me. In a world where stock manipulation is rampant, perhaps there are other things you could do rather than assume that the public is too stupid to understand the risks involved with their investment decisions. Even if that were true, it should not be within the scope of the SEC to insert itself.