Session 7: Protecting Seniors: Developing Rules, Regulations, and Policies Affecting Seniors' Brokerage Accounts

Date/Time: 
05/05/2018 - 4:40pm to 05/05/2018 - 5:40pm
Room: 
Suite D

As the customers of brokerage firms continue to age, and to enjoy longer life spans, there are many more issues arising effecting investment choices, account security, and even the aging of the financial advisor workforce. Not only has a new FINRA Rule come into effect, but firms are evolving their systems to protect seniors and account integrity. New model rules, state regulation, and uncertain health all play a role in determining the compliance required, the protections expected, and what restrictions are realistically applicable.