Senior Investors

This page contains resources for firms with regard to the industry's growing number of senior customers.

 

News

 

Report: Protecting Senior Investors: Compliance, Supervisory and Other Practices Used by Financial Services Firms in Serving Investors PDF 240 KB (9/22/08) 2010 Addendum (8/12/10)

 

News Release: FINRA Expands Investor Education Outreach Aimed at Baby Boomers (Posted 11/12/07)

 

News Release: FINRA Announces New Webcast to Guide Brokers when Working with Senior Customers (10/11/07)

 

News Release: FINRA Announces Major Regulatory Sweeps at Senior Summit (9/10/07)

 

Report: Protecting Senior Investors: Report of Examinations of Securities Firms Providing "Free Lunch" Sales Seminars PDF 1.9 MB (9/10/07)

 


Investor Resources

Investor Alert: "Free Lunch" Investment Seminars

 

Investor Alert: Seniors Beware: What You Should Know About Life Settlements

 

Investment Choices

 

FINRA Investor Education Foundation: Investor Protection Campaign for Older Investors

 


Notices & Guidance

11-52 FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations

 

07-43 FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers (Notice Posted on: 9/10/07)

 


Educational Resources for Firms

 

Please visit our e-learning courses page to register for one or more of the following courses:

  • Senior Investor Issues: Diminished Decisional Capacity
  • Senior Investor Suitability Considerations
  • Supervisory Considerations for Working with Seniors

 

Archived Conference Session: Regulatory Roundtable on Aging Investors, 2007 Fall Securities Conference