Elliott Curzon

Elliott Curzon

Dechert LLP

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FINRA Seeks Comments on its Engagement Programs

The Financial Industry Regulatory Authority (FINRA), on March 21, 2017, published a Special Notice soliciting comments on various existing FINRA engagement programs (Notice). This request for comment is one component of...more

4/1/2017  /  Advisory Committee , Broker-Dealer , Comment Period , Compliance , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Securities and Exchange Commission (SEC) , Stakeholder Engagement , Transparency

SEC Publishes for Comment FINRA Proposal to Combat Financial Exploitation of Seniors and Other Specified Adults

A proposed amendment to the Financial Industry Regulatory Authority, Inc. (FINRA) Customer Account Statement Rule (Rule 4512) and a proposed new Rule 2165 regarding Financial Exploitation of Specified Adults would: require...more

11/16/2016  /  Comment Period , Disclosure Requirements , Elder Issues , Exploitation , Financial Industry Regulatory Authority (FINRA) , Financial Statements , Privacy Concerns , Securities and Exchange Commission (SEC) , Temporary Hold , Trusted Contact Person
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