Brandon Levesque Comment On Regulatory Notice 22-08
Brandon Levesque
N/A
Individual investors do NOT need additional protections on complex products. Brokers offer sufficient warnings on these products. Additionally, FINRA and the SEC provide educational resources for individual investors regarding complex products. It is the responsibility of individual investors to educate themselves and manage risk appropriately. FINRA can't protect an individual investor who refuses to read a prospectus and consider existing broker warnings. Please do NOT add restrictions on complex products. Thank you.
Brandon Levesque Comment On Regulatory Notice 22-08
Individual investors do NOT need additional protections on complex products. Brokers offer sufficient warnings on these products. Additionally, FINRA and the SEC provide educational resources for individual investors regarding complex products. It is the responsibility of individual investors to educate themselves and manage risk appropriately. FINRA can't protect an individual investor who refuses to read a prospectus and consider existing broker warnings. Please do NOT add restrictions on complex products. Thank you.