*Letters

Proposed Regulations on the Use of Senior Designations

Published on:
December 11, 2006
Submitted to:
Secretary of Massachusetts
Submitted by:
SIFMA
Issue:

SIFMA provides comments to the Secretary of Massachusetts on proposed regulations on the use of senior designations.  The proposed regulations would prohibit broker-dealer agents and investment adviser representatives from using certain professional designations that state or imply a specialized knowledge of the financial needs of senior investors. SIFMA shares its concerns about the proposal, including the potential unintended consequence of subjecting the industry to 50 widely varying regulatory schemes involving senior designations.

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