Senior Investors
This page contains resources for firms with regard to the industry's growing number of senior customers.
News
Report: Protecting Senior Investors: Compliance, Supervisory and Other Practices Used by Financial Services Firms in Serving Investors PDF 240KB (9/22/08)
News Release: FINRA Expands Investor Education Outreach Aimed at Baby Boomers (Posted 11/12/07)
News Release: FINRA Announces New Webcast to Guide Brokers when Working with Senior Customers (10/11/07)
News Release: FINRA Announces Major Regulatory Sweeps at Senior Summit (9/10/07)
Report: Protecting Senior Investors: Report of Examinations of Securities Firms Providing "Free Lunch" Sales Seminars PDF 1.9 MB (9/10/07)
Investor Resources
Investor Alert: "Free Lunch" Investment Seminars
Investor Alert: Seniors Beware: What You Should Know About Life Settlements
FINRA Investor Education Foundation: Investor Protection Campaign for Older Investors
Notices & Guidance
07-43 FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers (Notice Posted on: 9/10/07)
Educational Resources for Firms
Webcast: Considerations for Working with Seniors
E-Learning:
Online Workshop: Compliance Practices to Protect Senior Investors
Archived Conference Session: Regulatory Roundtable on Aging Investors, 2007 Fall Securities Conference
