FINRA - Rules & Regulation - Senior Investors

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Home > Rules & Regulation > Issue Center > Senior Investors
Printer-Friendly Senior Investors

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

News

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

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

Webcast: Considerations for Working with Seniors

E-Learning:

Senior Investor Suitability Considerations

Supervisory Considerations for Working with Seniors ^{Video Tutorial}

Online Workshop: Compliance Practices to Protect Senior Investors

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