To Whom it May Concern:
I was recently made aware of the potential new regulations and requirements regarding investment options for individual investors looking to purchase public securities. This comment is intended to voice my opposition to yet more regulations and time-wasting, box checking, oversight for investors such as myself. If investors like me are knowledgeable enough to know what an inverse or leveraged ETF is, then we surely don't need a government agency holding our hand to say that "hey, you might lose your money investing in this so we are going to hold your hand and make sure you did your homework" as if we are all back in elementary school. Enough already, leave it alone. A fool and his money are soon parted, you can't stop that, so just focus on the sophisticated wrong-doers and leave the rest of us alone.
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
Daniel Ceilley Comment On Regulatory Notice 22-08
To Whom it May Concern:
I was recently made aware of the potential new regulations and requirements regarding investment options for individual investors looking to purchase public securities. This comment is intended to voice my opposition to yet more regulations and time-wasting, box checking, oversight for investors such as myself. If investors like me are knowledgeable enough to know what an inverse or leveraged ETF is, then we surely don't need a government agency holding our hand to say that "hey, you might lose your money investing in this so we are going to hold your hand and make sure you did your homework" as if we are all back in elementary school. Enough already, leave it alone. A fool and his money are soon parted, you can't stop that, so just focus on the sophisticated wrong-doers and leave the rest of us alone.