*Letters

Regulatory Notice 15-37

Published on:
December 1, 2015

SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on Rule 4512 and new Proposed Rule 2165. Senior financial exploitation is a problem that costs senior investors an estimated $2.9 billion annually. Through FINRA’s launch of its toll-free securities helpline for seniors and the release of Regulatory Notice 15-37, FINRA has made clear its commitment to bringing its frontline investor protection expertise to bear on the unique challenges facing aging and vulnerable investors.

See also:

FINRA Regulatory Notice 15-37

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