Seniors | FinReg & Policy Watch

Search Results: Seniors

FINRA Urges Firms to Focus on Succession Planning

Our recent client alert discusses FINRA’s recent focus on succession planning.

FINRA Focused on Registered Reps Named as Beneficiaries and Trustees for Customer Accounts

Our recent client alert covers FINRA’s views on this topic.

FINRA to Permit Temporary Transaction Holds and Longer Disbursement Holds to Prevent Financial Exploitation of Elders and Other Specified Adults

Our recent client alert discusses recent FINRA rule changes to provide broker-dealers with additional resources to prevent elder financial fraud.