EPISODE · May 3, 2022 · 24 MIN
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
from FINRA Unscripted · host FINRA
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That's just one reason why the protection of these investors is a top priority for FINRA. On this episode, we hear from FINRA’s Office of General Counsel’s Jeanette Wingler and Jim Wrona about how FINRA Rules 4512 and 2165, the first uniform national senior investor protection standards, can help broker-dealer firms and representatives protect their senior and other vulnerable adult customers. How are we doing? Take the FINRA Unscripted survey today. Resources mentioned in this episode:Rule 2165Rule 4512Episode 16: How FINRA Rules Get Made (and Reviewed)Securities Helpline for Seniors®FINRA Foundation Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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What this episode covers
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That’s why FINRA worked to update Rule 4512 and implement Rule 2165 to help broker-dealer firms and their representatives protect their senior and other vulnerable adult customers. On this episode, we learn more.
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The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
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