The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512

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. 

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Resources mentioned in this episode:

Rule 2165

Rule 4512

Episode 16: How FINRA Rules Get Made (and Reviewed)

Securities Helpline for Seniors®

FINRA Foundation

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