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The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512

The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512

FromFINRA Unscripted


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)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.