A recent research study published in JAMA Network Open suggests that older adults – including many who are not cognitively impaired – may be falling victim to “Government Impersonation” scams at a rate higher than previously...more
On July 15, 2022, FINRA filed with the Securities and Exchange Commission a proposed addition to Rule 3110 (Supervision) to include new Supplementary Material 3110.19 (Residential Supervisory Location). The SEC’s notice...more
On February 15, 2022, FINRA announced the adoption of certain amendments to FINRA Rule 2165, a rule aimed at preventing financial exploitation of seniors and specified adults. The amendments now allow member firms to place a...more
On July 15, 2021, the Canadian Securities Administrators (CSA) issued a series of amendments in an effort to bolster protections for senior and vulnerable investors across Canada. These new amendments, which are anticipated...more