With the scale and scope of cyber attacks increasing, front-line staffs are scrambling to not only keep the bad guys out, but keep up with ...
FINRA promises you a “safe harbor” when you put temporary holds under new rule 2165 on disbursements when you perceive a senior customer being exploited. ...
FINRA has moved to tackle the issue of unpaid customer arbitration awards. Acknowledging that it can be difficult for customers to collect from broker-dealers or ...
The SEC continues to fill key senior key positions that should result in increased rulemaking. The latest move was the Oct. 18 Commission announcement that ...
FINRA encourages firms to use new powers to hold up disbursements that seem exploitative to senior customers. But “savvy bad guys” are finding a new ...
FINRA requires that you request a Trusted Contact for “each account” of a client 65 years and older under its new senior investor protection rules ...
Complex products bring with them special supervision, suitability and rep training obligations. Volatility-linked exchange-traded products fit squarely into this bucket and recently led to two ...
How safe is the safe harbor FINRA is promising you under new rule 2165 (financial exploitation of specified adults)? Jim Wrona, FINRA vice president and ...
Under FINRA’s new senior investor protection rules, it’s clear that the new Trusted Contact requirement applies only to non-institutional customer accounts. But what about trust ...
The SEC approved Oct. 5 FINRA’s rule proposal to streamline competency exams and expand opportunities for prospective securities professionals seeking to enter or re-enter the ...