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Robert McLaughlin Comment On Regulatory Notice 22-08

I realize Im a little past the deadline for submitting comments, but in the interest of providing as many data points to decision-makers as possible, Id like to share some thoughts.

I have managed my own finances since I graduated from college at 21. After nearly three decades of hard work and sound investment, I retired from the rat race at 50. Surprisingly, I was able to accomplish this goal without receiving financial guidance from Kevin McCarthy or Alexandria Ocasio-Cortez.

Cristiano Manfre Comment On Regulatory Notice 22-08

FINRAs measures are at odds with Americas long-standing disclosure-based system, which gives investors and their advisors the freedom to make their own investment decisions.
Brokers and individual investors not regulators should be able to choose the investments that are right for their clients or themselves. Public securities should be accessible to all of the public, not just the privileged.

Dave Perkins Comment On Regulatory Notice 22-08

I am a personal investor with decades of saving, trading and investing and would like LESS government regulation or limitations. I do not want, or need FINRA or SEC or other agency to limit my access to investment vehicles such as leveraged exchange traded funds. My investments into ETFs, stocks, bonds, futures, real-estate and other asset classes are my personal choice and decision. I am against requiring a "special test" or other restriction to trade leveraged ETFs. Leveraged ETFs are part of my investment diversification and strategy.

2020068256101 Jorge Antonio Sonville CRD 2558540 AWC gg (2022-1657239619689).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068256101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jorge Antonio Sonville (Respondent) General Securities Representative CRD No. 2558540 Pursuant to FINRA Rule 9216, Respondent Jorge Antonio Sonville submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070501001 Ann Marie Box CRD 1662151 AWC gg (2022-1657239619539).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070501001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ann Marie Box (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 1662151 Pursuant to FINRA Rule 9216, Respondent Ann Marie Box submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Compass Capital Corporation Comment On Regulatory Notice 22-08

Compass Capital Corporation appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations that could prevent or deter our clients from accessing a broad range of public securities deemed complex.

Timothy Shanahan Comment On Regulatory Notice 22-08

Compass Capital Corporation appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations that could prevent or deter our clients from accessing a broad range of public securities deemed complex.