Broker- Dealer Law Corner

Broker- Dealer Law Corner

Category Archives: Rule 4512

Subscribe to Rule 4512 RSS Feed

The Securities Regulators All Have Senior-itis. Maybe For Good Reason.

Posted in FINRA, Rule 2165, Rule 4512, Senior Investors
The securities industry’s concern over the aging of the U.S. population, specifically, aging investors, has, apparently, reached a fever pitch. Yesterday in New York, SIFMA hosted its “Senior Investor Protection Conference – One Year Later: FINRA Rules 2165 and 4512,” and, for a securities conference, it received pretty extensive news coverage. I saw at least… Continue Reading

FINRA’s New Rules On Seniors: Let’s Protect Them From Their Own Bad Decisions?

Posted in FINRA, Rule 2165, Rule 4512, Senior Investors, Uncategorized
We have written before about senior investors, but I saw a couple of things in the last couple of weeks that suggests this subject needs to be revisited. First, back in February, the SEC got around to passing FINRA’s proposed rules to protect senior investors, including both new Rule 2165 and amendments to existing Rule… Continue Reading
.