Mark Hollingsworth Comment On Regulatory Notice 22-08
Mark Hollingsworth
N/A
I should be the one, not regulators, to choose public investments that at correct for my portfolio. No special process should not be required, and certainly not test performed to determine my ability to invest in public securities. Leveraged and inverse funds are very important to my investment strategies in hedging, enhanced returns, and as a limited part of my portfolio. I dont need someone else telling me what to do, or dictating what is safe for me. Regulators must leave my private decisions 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
Mark Hollingsworth Comment On Regulatory Notice 22-08
I should be the one, not regulators, to choose public investments that at correct for my portfolio. No special process should not be required, and certainly not test performed to determine my ability to invest in public securities. Leveraged and inverse funds are very important to my investment strategies in hedging, enhanced returns, and as a limited part of my portfolio. I dont need someone else telling me what to do, or dictating what is safe for me. Regulators must leave my private decisions alone.