*Letters

Proposed Rule V.S.R. 8-5: Protection of Vulnerable Adults from Financial Exploitation

Published on:
March 21, 2016
Submitted to:
Vermont Department of Financial Regulation
Submitted by:
SIFMA
Issue:

SIFMA provides comments to the Vermont Department of Financial Regulation on Proposed Rule V.S.R. § 8-5, Protection of Vulnerable Adults from Financial Exploitation. SIFMA has been a vocal advocate in the fight against senior financial exploitation for the past seven years, and has worked with multiple states to enact laws which create a voluntary reporting pathway for Broker-Dealers and permit them to place temporary holds on suspicious transactions and/or disbursements to allow time for the state to investigate.

See also:

Rule No. S-2016-01 – Vermont Securities Regulations

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