Financial Exploitation of Seniors
Regulatory Notice
Notice Type
Rule Amendment and New Rule
Referenced Rules & Notices
FINRA Rule 2010
FINRA Rule 2140
FINRA Rule 2150
FINRA Rule 2165
FINRA Rule 3310
FINRA Rule 4521
FINRA Rule 11870
Regulation S-P
SEA Rule 17a-
<p>Non-cash compensation sales contest permissible under Conduct Rule 2820(h) where member sells only one variable annuity and one variable life product and appropriate records are maintained.<br/></p>
Service members have access to one of the lowest-cost ways to save for retirement.
Financial Industry Networking Directory (FIND™) Interest Form for Firms let's firms subscribe to The Financial Industry Networking Directory (FIND)™, a complementary FINRA subscription service designed to connect individuals who are enrolled to take the Security Industry Essentials® (SIE®) exam with firms that are recruiting for employment and internship opportunities.
The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not all Americans are benefiting equally from improvements in financial wellbeing, according to the new FINRA Foundation Financial Capability Study. On this episode we delve into the latest results of this nationwide, triennial study.
Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star FamiliesWASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI), failing to supervise its representatives, and providing false and misleading disclosures to
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record. NASD strongly supports H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003.
On many measures of financial capability, U.S. adults generally fared better in 2021 than in the decade leading up to the pandemic, according to the FINRA Investor Education Foundation’s National Financial Capability Study. However, the research also shows that Americans’ financial well-being remains uneven across different demographic groups.
