In honor of Elder Abuse Awareness Month, we're taking a look at FINRA's important senior investor protection efforts, including a look at FINRA Rules 2165 and 4512, the first uniform National Senior Investor Protection Standards. 

On this episode, we hear from Associate General Counsel Alicia Goldin and Vice President and Associate General Counsel Jim Wrona where those rules stand today, explore some of the real-world scenarios in their application and provide tips for some of the tricky conversations that financial professionals might face in connection to their application. 

Resources mentioned in this episode:

Rule 2165: Financial Exploitation of Specified Adults

Rule 4512: Customer Account Information

Episode 105: Essential Senior Investor Protection Tools

Reg Notice 22-31: Practices for Obtaining Trusted Contacts

“Investors in the U.S.: The Changing Landscape,” FINRA Foundation (December 2022)

Trusted Contact Resource Page

Trusted Contact Infographic

2023 Report on FINRA’s Examination and Risk Monitoring Program

2020 Ontario Securities Commission Protecting Aging Investors Report

Blame and Shame in the Context of Financial Fraud

IACP Successful Trauma-Informed Victim Interviewing

Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation

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