17-02682(4).pdf
22-00666(4).pdf
22-00666(5).pdf
Kevin Comment On Regulatory Notice 25-06
To Whom It May Concern at FINRA,
I’m writing as a long-time trader in the OTC markets to share my honest concerns about how Rule 15c2-11 has impacted retail investors like myself.
This rule may have been created with good intentions — to protect investors and clean up bad actors — but the way it’s been enforced has done real damage to people who’ve spent years trading these markets responsibly.