Skip to main content

David Wilhite Comment On Regulatory Notice 22-08

I urge FINRA to continue to protect the right of choice in how to best protect our investment portfolios in order to help achieve long-term financial security. My fear is that regulations could be too broad and difficult to interpret and therefore, Unworkable: The definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. - Furthermore my fear is that understanding the complex definitions could become subjective and could lead to unfair or even discriminatory treatment of investors.

Heather Von Hortenau Comment On Regulatory Notice 22-08

It is ridiculous that FINRA puts in place rules which supposedly "protect" citizens, when in fact these regulations prevent ordinary people from making money on the stock market. Meanwhile, because regular people are excluded, Wall Street fat cats get to run rampant, making huge profits and taking money out of the middle class economy. As far as I can tell, FINRA protects Wall Street brokerages and high dollar investors with the claim that those who have less that 25K to invest or aren't licensed to invest for others are ignorant and unable to think for themselves.