PLI's inSecurities Podcast - Commissioner Jaime Lizárraga’s Core Values
Investor Protection for ESG Investing and Complex Products
June is Elder Abuse Awareness Month, a time to raise awareness of the growing trend of financial exploitation, which has become one of the most prevalent forms of abuse targeting the senior population. During the 2025...more
FINRA remains very focused on preventing financial exploitation of seniors and other investors. Firms can expect to see senior investor protection as a key area of focus in the forthcoming 2023 Report on FINRA’s Examination...more
Effective Feb. 5, the Financial Industry Regulatory Authority amended Rule 4512 (Customer Account Information) and adopted new Rule 2165 (Financial Exploitation of Specified Adults) in an effort to address the “serious and...more
On January 22, 2016, the North American Securities Administrators Association (“NASAA”) adopted a model act, entitled “An Act to Protect Vulnerable Adults from Financial Exploitation.” This act seeks to facilitate...more
On September 17, 2015, FINRA announced that it would propose rules to help member firms protect seniors and other vulnerable adults from financial exploitation. The proposal would create a safe harbor enabling broker-dealer...more