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.