Christopher Brooks Comment On Regulatory Notice 22-08
Christopher Brooks
N/A
I wish to state my strongest objection to what I perceive to be an overt attempt by power-hungry control freaks in the federal government relating to limiting access to investment opportunities in, among other vehicles, inverse and leveraged funds. This is nothing more than a solution in search of a problem, in my view, and is a dangerous step toward government control of the marketplace.
The government's job is to stay out of the way and out of the open market so investors can balance -- as only they know -- their individual sensitivities with respect to risk and reward. I want the opportunity to decide for myself, not from some nanny-state bureaucrat, what tools I want to use to maximize my investment returns or to protect what I've spent a lifetime of thrift and careful personal financial management in building.
I oppose with my strongest feelings the restrictions that are proposed to limit access to financial investment strategies that may include public investments such as mentioned above.
For the Public
FINRA DATA
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
FINPRO
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
FINRA GATEWAY
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
For Case Participants
DR PORTAL
Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.
Need Help? | Check System Status
Log In to other FINRA systems
Christopher Brooks Comment On Regulatory Notice 22-08
I wish to state my strongest objection to what I perceive to be an overt attempt by power-hungry control freaks in the federal government relating to limiting access to investment opportunities in, among other vehicles, inverse and leveraged funds. This is nothing more than a solution in search of a problem, in my view, and is a dangerous step toward government control of the marketplace.
The government's job is to stay out of the way and out of the open market so investors can balance -- as only they know -- their individual sensitivities with respect to risk and reward. I want the opportunity to decide for myself, not from some nanny-state bureaucrat, what tools I want to use to maximize my investment returns or to protect what I've spent a lifetime of thrift and careful personal financial management in building.
I oppose with my strongest feelings the restrictions that are proposed to limit access to financial investment strategies that may include public investments such as mentioned above.