05 Nov New Elder Financial Abuse Rules for Brokerage and Investment Firms
Posted at 21:43h
in Securities Litigation & Regulation
On October 15, 2015, the Financial Industry Regulatory Authority (“FINRA”) proposed new rules and amendments to existing rules designed to combat elder abuse. The amendments will allow brokerage and investment firms to delay for up to 15 days the disbursement of funds or securities from the account...