21 min listen
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
FromFINRA Unscripted
ratings:
Length:
24 minutes
Released:
May 3, 2022
Format:
Podcast episode
Description
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. How are we doing? Take the FINRA Unscripted survey today. Resources mentioned in this episode:Rule 2165Rule 4512Episode 16: How FINRA Rules Get Made (and Reviewed)Securities Helpline for Seniors®FINRA Foundation
Released:
May 3, 2022
Format:
Podcast episode
Titles in the series (100)
Enforcement Guiding Principles: What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. In this episode, Susan rejoins us to discuss how getting back to basics is helping her build a more effective Enforcement team. by FINRA Unscripted