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SR-FINRA-2022-014

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 4111 and 9561 to make non-substantive and technical amendments.

Lawrence McClure Comment On Regulatory Notice 22-08

FINRA -should not limit my choose to invest in leveraged and inverse funds. With inverse funds I can still manage to potentially make gains in an IRA account as I cant short in this type of account. If you limit this I can only go down. I have a collage degree and understand the risk associated with any type of trading or investment. I have gone to school for trading and am doing what I love to do. I trade futures and forex as well These are public funds and if you put a restriction for me to trade them then only the brokers can trade and have the benefit - NOT RIGHT

2021070807101 Jordan Ross Helfgott CRD 5982408 AWC lp (2022-1656202820427).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070807101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jordan Ross Helfgott (Respondent) General Securities Representative CRD No. 5982408 Pursuant to FINRA Rule 9216, Respondent Jordan Ross Helfgott submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

C. Brueggeman Comment On Regulatory Notice 22-08

TWIMC,

Leveraged and inverse funds, among other complex products under consideration, are important tools for individual investors and should be freely accessible regardless of a persons professional background or wealth, including the ability to pay for training or advice/service. Sufficient information is publicly available for people to educate themselves and make personal risk/benefit analysis. It would be unfair and undue to disallow individual investors the freedom to make determinations for themselves about these products and gatekeep from the possible benefits.