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Darren Dorsey Comment On Regulatory Notice 22-08

Hello - I am contacting you regarding recent communication I have received from my broker that may restrict my ability to invest in leveraged and other higher risk assets. I have spent the last two years studying these securities and understand them very well. I use well thought out risk management and diversity to ensure I would never lose a large sum of money in a major market move. For regulators to prevent me from investing as I wish is preventing someone like me with less capital than institutional investors to benefit from putting my hard earned money to work as I see fit.

Larry Hart Comment On Regulatory Notice 22-08

To whom it may concern:

It has come to my attention that FINRA is considering significant and severe restrictions on my right to select my own investment vehicles. I don't need "a parent" to oversee my investments and protect me from myself. Candidly, I think this is an overreach of government powers. I am an experienced investor with a background in the financial services industry. I am very aware of all the risks of investing, from "normal" to leveraged. Are you going to take away margin also?

Misha Rajcoomar Comment On Regulatory Notice 22-08

My brokerage firm required me to listen to a statement detailing the potential risks for options before I could start trading them. Since options can similarly be used to achieve leverage or inverse returns, I think this is a reasonable requirement for trading in leveraged/inverse funds. At the end of the day, higher expected return comes hand in hand with greater risk. If a given investor isn't aware of this, the issue isn't that they're trading in these products but the fact that they're trading in the first place.