Tagged with "elderly"

FINRA to Start Closely Examining How Broker-Dealers are Complying with New Elder Abuse Rules

Posted on February 7th, 2019 at 1:09 PM
FINRA to Start Closely Examining How Broker-Dealers are Complying with New Elder Abuse Rules

During the annual Securities Industry and Financial Markets Association (SIFMA) event in New York, FINRA representatives made it clear that the agency will start probing broker-dealers' compliance with its new rules meant to protect elderly clients from financial abuse and exploitation.

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