SIFMA & Protiviti Virtual Forum: Navigating Regulations for Residential Supervisory Locations
In January 2024, FINRA introduced new regulations, specifically Rules 3110.18 and 3110.19, focusing on the Remote Inspection Pilot Program and…
FINRA rules 2165 and 4512, which provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all of their clients, took effect February 5, 2018.
SIFMA’s Senior Investor Protection Conference will bring together industry experts and regulators on Tuesday, February 5, in NYC to discuss the impact of these rules one year later. The conference will also explore other new tools in the marketplace – and what’s in the works – to defeat elder financial exploitation.
The conference program will include the latest research, recent legal and legislative developments, and on-going strategies to help protect senior investors.
FINRA rules 2165 and 4512, which provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all of their clients, took effect February 5, 2018.
SIFMA’s Senior Investor Protection Conference will bring together industry experts and regulators on Tuesday, February 5, in NYC to discuss the impact of these rules one year later. The conference will also explore other new tools in the marketplace – and what’s in the works – to defeat elder financial exploitation.
The conference program will include the latest research, recent legal and legislative developments, and on-going strategies to help protect senior investors.