FINRA has no business or right to regulate or limit the products in which private investors place funds. I understand and accept the risks of my investments in all types of funds. They are my funds to invest, not yours. An investment prospectus is sufficient to inform investors of the objectives and risks of any investment. Attempting to regulate who can and cannot invest in any fund, based on an arbitrary set of rules, is discriminatory and illegal. Stick to advising your member firms on self-regulation. Stay out of decisions that should only be made by individual investors.
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Kerry Kay Comment On Regulatory Notice 22-08
FINRA has no business or right to regulate or limit the products in which private investors place funds. I understand and accept the risks of my investments in all types of funds. They are my funds to invest, not yours. An investment prospectus is sufficient to inform investors of the objectives and risks of any investment. Attempting to regulate who can and cannot invest in any fund, based on an arbitrary set of rules, is discriminatory and illegal. Stick to advising your member firms on self-regulation. Stay out of decisions that should only be made by individual investors.