Guidance

Guidance
Trusted Contact Persons
January 09, 2024
Media Center
Preventing Financial Exploitation: Steps for Safeguarding Senior Investors
June 27, 2023
Media Center
2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes
April 18, 2023
Media Center
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
May 03, 2022
FAQ
Frequently Asked Questions Regarding FINRA Rules Relating to Financial Exploitation of Senior Investors
March 01, 2022
Training
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors
June 15, 2021
Podcast
Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
November 10, 2020
Virtual Conference Panel
Social Distancing and the Impact on Older Investors
June 15, 2020
Report / Study
Protecting Senior Investors 2015-2020
April 30, 2020
Protecting Senior Investors 2015-2020
The Helpline in Action
April 30, 2020
Protecting Senior Investors 2015-2020
Appendix – Senior Investor Protection Resources
April 30, 2020
Protecting Senior Investors 2015-2020
FINRA Senior Exploitation Rules
April 30, 2020
Protecting Senior Investors 2015-2020
Effective Practices from Firms' Senior Investor Protection Programs
April 22, 2020
Podcast
Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection
April 14, 2020
Guidance
Senior Safe Act Fact Sheet
May 19, 2019
Podcast
FINRA’s Senior Helpline: Addressing the Unique Needs of Senior Investors
May 01, 2018
Report / Study
National Senior Investor Initiative Report
March 15, 2015
Report / Study
2011 Senior Designation Survey Results
November 12, 2011
Guidance
Regulatory Notice 11-52
November 11, 2011
Notice
Regulatory Notice 09-42
July 30, 2009
Interpretive Letter
Interpretive Letter to Dan Danborn, Society of Certified Senior Advisors
September 28, 2007
Guidance
Regulatory Notice 07-43
September 10, 2007
Report / Study
Protecting Senior Investors: Report of Examination of Securities Firms Providing "Free Lunch" Sales Seminars
September 10, 2007