Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.


Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) extend a temporary hold on a disbursement of funds or securities or a transaction in securities for an additional 30-business days if the member firm has reported the matter to a state regulator or agency or a court of competent jurisdiction; and (2) place a temporary hold on a securities transactions where there is a reasonable belief of financial exploitation. 

Title Format - Size Status
Text of the Proposed Rule Change PDF - 4.18 MB
Federal Register Notice PDF - 972.6 KB
Extension No. 1 PDF - 228.71 KB
Response to Comments PDF - 143.67 KB