Skip to main content

Mark Ralfs Comment On Regulatory Notice 22-08

I, as an investor and as a financial advisor, should be able to choose the publicly-traded investments that best fit my and my family's needs based on our goals, risk tolerance, and timeline without interference from regulators. It is my responsibility to educate myself on these type of investments before deciding whether or not they are appropriate for my and my family's specific situation.

Elliot Simon Comment On Regulatory Notice 22-08

Government's job is to ensure disclosure. It is not the government's job to tell me what I'm allowed to invest in or to tell me I'm not qualified to invest in certain investment products. The supposed qualification, for example, that I need to be wealthy in order to be allowed to invest in a leveraged fund is discriminatory on its face. So are the other proposed "qualifications". This whole thing is outrageous.