Robert Weinberg Comment On Regulatory Notice 22-08
Robert Weinberg
N/A
I have read that you are considering a new rule to impose substantial restrictions on investors being able to invest in certain types of investments which are considered "complex products," such as inverse and leveraged funds--and I'm opposed to such a proposal. Such funds offer opportunities to investors, especially small investors who are not wealthy, to survive turbulent markets--and to plan their investment strategy in a more flexible way. Such funds also save time in many ways and the restrictions you are considering would waste an enormous amount of investors' time, energy and money. You should focus on warnings to investors where such may seem important, but not on stealing investors' time, lowering investors' opportunities, and restricting valuable investment vehicles to only the wealthy elites in society.
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
Robert Weinberg Comment On Regulatory Notice 22-08
I have read that you are considering a new rule to impose substantial restrictions on investors being able to invest in certain types of investments which are considered "complex products," such as inverse and leveraged funds--and I'm opposed to such a proposal. Such funds offer opportunities to investors, especially small investors who are not wealthy, to survive turbulent markets--and to plan their investment strategy in a more flexible way. Such funds also save time in many ways and the restrictions you are considering would waste an enormous amount of investors' time, energy and money. You should focus on warnings to investors where such may seem important, but not on stealing investors' time, lowering investors' opportunities, and restricting valuable investment vehicles to only the wealthy elites in society.