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2019062945701 Credit Suisse Securities (USA) LLC, CRD 816 AWC gg (2022-1657326019695).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062945701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Ignatii Pelkonen Comment On Regulatory Notice 22-08

Please do not take away my ability to invest in leveraged ETF and into anything. I'm well aware of what I'm doing and I don't need to be restricted by regulators. There are way too many restrictions on US investors already.

Tying ability to invest to net worth is elitist and exclusionary. It further perpetuates the wealth gap because one could only become wealthy through investments.

I might be okay with mandatory test and knowledge check.

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.