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Elder Abuse Regulatory Requirements Financial Industry Regulatory Authority (FINRA)

Eversheds Sutherland (US) LLP

FINRA signals heightened focus on senior investor protection

On July 15, FINRA’s Investor page featured an article titled “Protecting Older Investors From Financial Exploitation,” signaling a renewed and strengthened focus on safeguarding senior investors—an issue FINRA has long...more

Carlton Fields

Two New FINRA Rules For The Protection Of Senior Investors

Carlton Fields on

The protection of senior investors continues to be a priority for FINRA, from both an examination and enforcement perspective. In fact, FINRA detailed how seniors are one of its major areas of concern in the last three...more

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