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Martin Middleton Comment On Regulatory Notice 22-08

I am opposed to restrictions on my right to invest using leveraged and inverse funds. I am an old guy who has only become an active investor in the last couple years. I have a modest portfolio. The big guys have many advantages in the markets. I have found that using leveraged and inverse funds enhances my opportunities. The considerable risks are easy to understand but with careful use the losses are manageable. Being able to hedge against the market moving down has been a real help lately. I prefer these ETF's to options which have a habit of expiring worthless.

Aram Shelton Comment On Regulatory Notice 22-08

I oppose government mandated restrictions on types of investments. I feel it is my right to choose what type of products to invest in, including leveraged and inverse funds. These funds are extremely important to my long term investment strategy, especially as it allows me to keep emergency cash funds more easily accessible. I understand my risks when investing in any product, and should be able to make my own decisions.

Bruce Heitke Comment On Regulatory Notice 22-08

I oppose the proposed rule that would restrict my ability to use public instruments in my investing. I have been using leveraged and inverse funds for about 20 years. I follow my investments quite closely and before starting to use these funds, I examined their pros and cons. Since then, I have come to the conclusion that leveraged funds are simply volatile instruments, of which there are many Is this the beginning of burdensome regulations on other investments?

SR-FINRA-2022-015

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck® as to whether a particular member firm or former member firm is currently designated as a “Restricted Firm” pursuant to Rule 4111 (Restricted Firm Obligations) and Rule 9561 (Procedures for Regulating Activities Under Rule 4111).  

2020066627202 Suzanne Marie Capellini CRD 1357703 Complaint lp (2022-1656807620073).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2020066627202 Department of Enforcement, Complainant, v. Suzanne Marie Capellini, CRD No. 1357703, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2018 through May 2020 (the “relevant period”), Respondent Suzanne Capellini, the Anti-Money Laundering Compliance Officer (AMLCO) at First Manhattan Co. (CRD No.