Tracking Trends
Senior Initiative
In September 2007, FINRA and State Securities Regulators issued separate notifications to the public advising of the securities industry’s obligations relating to senior investors, highlighting the practices that may best serve senior investors, and advising of fraudulent business practices aimed at senior investors.
- FINRA - Regulatory Notice 11-18 Continuing Education Planning
On April 14, 2011, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA) (see Regulatory Notice 11-18).
4/15/2011
- NASAA Headline - 9/22/08
Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
9/22/2008
- NASAA Headline - 4/1/08
State Securities Regulators Announce New Model Rule on the Use of Senior Certifications and Professional Designations - NASAA Also Voices Strong Support for the ‘Senior Protection Act of 2008’ and Applauds Sen. Herb Kohl’s Leadership in the Fight Against Senior Investment Fraud
4/3/2008
- NASAA Headlines - September 10, 2007
September 10, 2007 - "Free Lunch" Investment Seminar Examinations Uncover Widespread Problems, Perils for Older Investors - WASHINGTON, D.C.-- During a Seniors Summit held today at the Securities and Exchange Commission, securities regulators released a joint report summarizing the results of their examinations of "free lunch" investment seminars.
9/26/2007
- NASAA Headline - September 10, 2007
September 10, 2007 - State Securities Regulators Issue Senior Investor Alert - NASAA says retirees and those nearing retirement remain vulnerable as they manage a lifetime of savings - WASHINGTON, D.C.—The North American Securities Administrators Association (NASAA) today issued a Senior Investor Alert warning that retirees and those nearing retirement can face serious traps as they manage the savings they have accumulated throughout their working years.
9/26/2007
