Comments: Responsibility lies with the investor on the types of instruments in which they choose to invest. Burdening brokerage firms with additional onerous processes will only serve to deny investment vehicles to the investor community. The current environment strikes the appropriate balance between the investor and the brokerage firms. No further changes are required.
Willem Lynn Comment On Regulatory Notice 22-08
Comments: Responsibility lies with the investor on the types of instruments in which they choose to invest. Burdening brokerage firms with additional onerous processes will only serve to deny investment vehicles to the investor community. The current environment strikes the appropriate balance between the investor and the brokerage firms. No further changes are required.