I am commenting on FINRA Regulatory Notice #22-08:
- FINRA's proposed limits may restrict my access to L&I Funds or disqualify me from trading L&I Funds or other "complex products".
- I should be able to choose the public investments that are right for me and my family with public investments available to everyone in the public.
- I have a strong understanding of the characteristics and risks of L&I Funds, and that their purpose is for short-term active trading, and that they should be monitored regularly.
- L&I Funds are important to my investment strategies and are a limited but important part of my overall portfolio
- I should not have to go through any special process like passing a test before investing in L&I funds; it is an undue burden on my ability to invest
- My brokerage firm already provides warnings on L&I funds, such as how they are intended for short-term trading, etc
I oppose any new limitations on my ability to invest in L&I funds and urge that these investments continue being available to everyone.
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
Niral Ramesh Comment On Regulatory Notice 22-08
I am commenting on FINRA Regulatory Notice #22-08:
- FINRA's proposed limits may restrict my access to L&I Funds or disqualify me from trading L&I Funds or other "complex products".
- I should be able to choose the public investments that are right for me and my family with public investments available to everyone in the public.
- I have a strong understanding of the characteristics and risks of L&I Funds, and that their purpose is for short-term active trading, and that they should be monitored regularly.
- L&I Funds are important to my investment strategies and are a limited but important part of my overall portfolio
- I should not have to go through any special process like passing a test before investing in L&I funds; it is an undue burden on my ability to invest
- My brokerage firm already provides warnings on L&I funds, such as how they are intended for short-term trading, etc
I oppose any new limitations on my ability to invest in L&I funds and urge that these investments continue being available to everyone.