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Kelly Harvey Comment On Regulatory Notice 22-08

I strongly oppose any and all regulation on my choices of investments. Our current net worth includes hard assets, our home/car/etc., IRAs, Savings deposits, bank accounts, and credit union accounts. The total values are just over 1 million dollars. I know this is small compared to the 1% that rule the country, but it started with employer matched funding IRA decades ago. We built it slowly and carefully. Now retired, my choice of my investments should not be dictated by others.

2018058781101 UBS Securities LLC CRD 7654 AWC va (2022-1654302014385).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058781101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Andrew Chedid Comment On Regulatory Notice 22-08

I not regulators should be able to choose public investments that are right for ME and MY family. Public investments should be available to all of the public, not just the privileged.

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.