It is not the responsibility of FINRA to limit my access to publicly available investment vehicles. The investments under consideration for restriction have clear, concise, and readily-available prospectuses that explain the risks and further restrictions or tests should not be permitted. Financial and securities restrictions should exist to protect investors from illicit or deceptive practices; the proposed vehicles, being publicly available and subject to current regulatory oversight, should not be subject to any additional restriction.
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Michael Smith Comment On Regulatory Notice 22-08
It is not the responsibility of FINRA to limit my access to publicly available investment vehicles. The investments under consideration for restriction have clear, concise, and readily-available prospectuses that explain the risks and further restrictions or tests should not be permitted. Financial and securities restrictions should exist to protect investors from illicit or deceptive practices; the proposed vehicles, being publicly available and subject to current regulatory oversight, should not be subject to any additional restriction.