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: FinancialCounselRegulators Offer Guidance To Improve Policies And Procedures To Protect Senior Investors
By James Eccleston
State and federal securities regulators, along with FINRA (the Financial Industry Regulatory Authority), recently emphasized that the protection of senior investors is "a top priority." The regulators have issued a report, entitled, "Protecting Senior Investors: Compliance, Supervisory and Other Practices Used by Financial Services Firms in Serving Senior Investors." Let's examine the guidance provided in the report.
Full post as published by FinancialCounsel on October 08, 2008 (boomark / email).
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