Skip to main content

David Sandiford Comment On Regulatory Notice 22-08

I do not need the restrictions that would be imposed by Notice #22-08.

I am fully capable of understanding the risks in acquiring inverse and leveraged funds.

By limiting access to these funds you are favoring the privileged who have a high net worth, and excluding investors that don't meet some arbitrary net worth.

I am a smaller investor and have utilized inverse funds several times to take advantage of investing in downward markets.

Please eliminate consideration of Notice #22-08 as it is unfair to the average investor.

2020065163002 Patrick Richard Daley CRD 4284221 2020065163002 gg (2022-1654993202910).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065163002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Richard Daley (Respondent) Registered Representative and Registered Principal CRD No. 4284221 Pursuant to FINRA Rule 9216, Respondent Patrick Richard Daley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065163001 Roselaine Securities LLC CRD 171237 gg (2022-1654993223835).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065163001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roselaine Securities LLC (Respondent) Member Firm CRD No. 171237 Pursuant to FINRA Rule 9216, Respondent Roselaine Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Jason Sakasci Comment On Regulatory Notice 22-08

I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.

I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I'm am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on me.

Leveraged and inverse funds are IMPORTANT to MY investment strategies.