Kenneth Smalewich Comment On Regulatory Notice 22-08
Kenneth Smalewich
N/A
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities. That is why we have certified financial consultants/brokers. I am capable of understanding my investments and their risks. I do not need these measures imposed on me. FINRA's job is to ensure that investment transactions are conducted with in the existing laws and regulations. It is NOT FINRA's job to impose [REDACTED] on the investors.
Kenneth Smalewich Comment On Regulatory Notice 22-08
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities. That is why we have certified financial consultants/brokers. I am capable of understanding my investments and their risks. I do not need these measures imposed on me. FINRA's job is to ensure that investment transactions are conducted with in the existing laws and regulations. It is NOT FINRA's job to impose [REDACTED] on the investors.