The U.S. Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and the North American Securities Administrators Association (“NASAA”) recently released a new resource intended to assist … Continue reading Senior Safe Act Training Resources Available
The Financial Industry Regulatory Authority (FINRA) has proposed new rules to address the financial exploitation of seniors and other vulnerable adults to the Securities and Exchange Commission (SEC). As set … Continue reading FINRA Proposes New Rules to Protect Seniors
The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved a rulemaking item to help firms better protect seniors and other vulnerable adults from financial exploitation. The … Continue reading FINRA Board Approves Rulemaking Item to Protect Seniors