From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation

This panel brings together regulators and FINRA member firms to explore how regulatory tools and firm-level action can work together to protect senior investors. Regulators share what they are seeing including common red flags, examination findings and expectations around documentation, escalation and reporting. FINRA member firms provide real-world success stories demonstrating how the Trusted Contact Person Rule and FINRA Rule 2165 have prevented harms, stopped scams and ultimately strengthened client relationships.

This event is open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.