May. 09, 2023
May 9, 2023 I do not support this proposal primarily because the same standards review are not being applied to FINRA employees. I'm not sure about the SEC but FINRA employees are not subject to this same supervision / review that they are imposing on industry. FINRA employees only go into the office if they have reason to (so called "presence with a person") how many records, how much supervision of security systems at employees homes, etc are being monitored for the regulators homes? Any rule that is forced upon industry should also be forced upon FINRA. This is just another reason for firms to file a bdw and move to a RIA only. Keep decimating the small bd's in favor of the wirehouses, seems to be your objective.