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2020066655701 Sanjay Bhargava CRD 4495397 AWC gg (2022-1655079624002).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066655701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanjay Bhargava (Respondent) General Securities Representative CRD No. Pursuant to FINRA Rule 9216, Respondent Sanjay Bhargava submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Robert Peterson Comment On Regulatory Notice 22-08

I guess the idea of more far-reaching regulations is to protect some some investors from losing money. But what about those who might make money? Why should policy be based on one group, and not the other? But even if it would save all investors money, I would still opposed to it -- because it is not the role of government to effectively be making investment decisions for its citizens. The whole premise behind that is one that is inconsistent with a free people. Such a policy would foster a state of mind that would be inconsistent with a free person.

SR-FINRA-2022-012

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Industry Disputes (“Code”) to align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021 (“Act”).  The proposed rule change would also make a conforming amendment to FINRA Rule 2263.  

Patricia Schaffer Comment On Regulatory Notice 22-08

I as an American citizen should have access to these products, not left only for the rich. The entire stock market is a complex beast, but with research there are many tools to become more informed. I am capable of making my own informed decisions. We as small investors should not have to jump through hoops that others do not. There are already so many restrictions and we should not have any more added. For once can we have the little guy have a chance instead of rules that only let the rich get richer. Thank you for your consideration.