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Keywords: Seniors
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 64–66.
Published: 04 September 2017
...Matthew J. Kutner Purpose To inform readers of new FINRA Rule 2165 and amended FINRA Rule 4512, which are aimed at protecting seniors from financial exploitation. Design/methodology/approach This article discusses the scope of the FINRA Rules and amendments, including provisions for temporary...
