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FINRA Issues Regulatory Notice Relating to Senior Investors by Michael Schaenen Lamont
Burton W. Wiand
Fowler White Boggs Banker
Tampa Office
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August 5, 2008
Previously published on September 19, 2007
FINRA recently issued Regulatory Notice 07-43 reminding firms of their obligations relating to senior investors. The purpose of the Notice is to urge firms to review and enhance their polices and procedures for complying with FINRA sales practice rules, as well as other applicable laws, regulations, and ethical principals, in light of the special issues that are common to many senior investors.
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The views expressed in this article are solely the views of the author and not Martindale-Hubbell. This article is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance. |
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