Transcription of 17-11 - finra.org
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17-11 - finra.org
Regulatory Notice 17-11 . Financial Exploitation of Seniors March 2017. SEC Approves Rules Relating to Financial Exploitation Notice Type of Seniors 00 Rule Amendment and New Rule Effective Date: February 5, 2018. Suggested Routing 00 Compliance Summary 00 Legal The SEC approved: (1) the adoption of new finra Rule 2165 (Financial 00 Operations Exploitation of Specified Adults) to permit members to place temporary 00 Registered Representatives holds on disbursements of funds or securities from the accounts of specified 00 Senior Management customers where there is a reasonable belief of financial exploitation of these customers.
Attachment B Rule 2165 permits, under FINRA rules, a member to place a temporary hold on a disbursement of funds or securities from the account of a specified adult if the member
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