*Letters

FINRA Rule 4512 and New Proposed Rule 2165

Published on:
November 28, 2016
Submitted to:
SEC
Submitted by:
SIFMA
File Number:
File No. SR-FINRA-2016-039: Notice of Filing of a Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)

SIFMA provided comments to the U.S. Securities & Exchange Commission (SEC) on FINRA Rule 4512 and New Proposed Rule 2165. SIFMA appreciates the work that both FINRA and the SEC have undertaken in order to protect senior and vulnerable adults from financial exploitation, and we strongly believe that the Proposed Rules will provide FINRA member firms with important tools to combat this rising threat.

See also:

4512. Customer Account Information

Details

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