Mr McGuire Comment On Regulatory Notice 22-08
If you start to require such educational processes, they should apply to all forms of investing.
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.
If you start to require such educational processes, they should apply to all forms of investing.
To whom it may concern:
Dear WannaBe Regulators - Hear me now... IF IT AIN'T BROKE, DON'T FIX IT!
Those inverted funds are extremelly important in order to protect assets from down markets
The over taxing Government and the Wealthy greed of the rich are driving savers and retired people to the brink of non dependency. Political insider trade exists and makes it more difficult for honest people to invest. This is supposed to be a free market and Nation. Keeping the market open to anyone is inherent for our Nation.
I'm an 83-year old veteran and I strongly opposed any restrictions on my right to invest.
I am extremely disappointed in FINRA's attempt to increase regulation regarding the rights of individuals to invest freely. Leveraged securities should remain a free choice to all investors! Over-regulation with a perceived higher purpose is usually fraught with unintended consequences. So-called protections for small investors and our access to leveraged ETFs will inhibit our options. Once again, institutions and sophisticated investors will have advantages. FINRA's overreach is another reason why the 2022 and 2024 elections will be very important.
not regulators should be able to choose
the public investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do you have the right to share your views,
but the regulators are required to take your comments into
I want to maintain your current freedom to invest in public securities of your choosing. With all the due respect, you are not our parents, please don't try to be one. We are adults and are responsible for our choices.
Dear Sirs:
Your Regulation is unconstitutional, the First Amendment protects the right to freely associate and contract, for mutual benefit and protection. For you do justify any regulation you would have to show an encroachment on individual unalienable rights, as people have agreed and contracted, that does not seem likely.