Notices

Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Friday, August 09, 2019
Regulatory Notice 17-11
SEC Approves Rules Relating to Financial Exploitation of Seniors
Thursday, March 30, 2017
Regulatory Notice 16-12
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Monday, April 18, 2016
Regulatory Notice 11-52
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Friday, November 11, 2011
Regulatory Notice 09-42
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
Thursday, July 30, 2009
Regulatory Notice 07-43
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
Monday, September 10, 2007

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