SEC Sues Miami Resident for Operating Fraudulent Day Trading Operation Targeting Hispanic Community »
Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
As part of the Securities and Exchange Commission’s third annual Seniors Summit held in Washington today, the staff of the SEC along with the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) released a joint report outlining practices that financial services firms can use to strengthen their policies and procedures for serving older investors as they approach and enter retirement.
More: continued here
Get the DDToolBar for Due Diligence It's Free!
155% Average Gain, 90% Accuracy, Penny stock picks, insider secrets and daily updates from the leader in speculative stock picks.
