The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
FINRA Unscripted
English - May 03, 2022 11:00 - 24 minutes - 22.2 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: MAP Transformation: Streamlining FINRA's Gatekeeper Function
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That's just one reason why the protection of these investors is a top priority for FINRA.
On this episode, we hear from FINRA’s Office of General Counsel’s Jeanette Wingler and Jim Wrona about how FINRA Rules 4512 and 2165, the first uniform national senior investor protection standards, can help broker-dealer firms and representatives protect their senior and other vulnerable adult customers.
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Resources mentioned in this episode:
Episode 16: How FINRA Rules Get Made (and Reviewed)