Regulatory Notice 26-02

Summary

FINRA seeks comment on proposed rule modernization changes to further assist member firms in protecting customers from fraud and financial exploitation. Based on comments on Regulatory Notice 25-07, FINRA proposes amendments to FINRA Rules 4512 (Customer Account Information) and 2165 (Financial Exploitation of Specified Adults) and proposed Rule 2166 (Temporary Delays for Suspected Fraud).

The rule text is available in Attachment A.

Questions concerning this Notice should be directed to:

Investors in the United States: Key Trends and Insights from the National Financial Capability Study

Learn more about the FINRA Investor Education Foundation latest research, Investors in the United States: Results from the FINRA Foundation’s National Financial Capability Study, which offers insights into the attitudes, behaviors, knowledge and experiences of retail investors in the U.S.
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