FINRA Proposes Rule Changes Designed to Help Member Firms Combat Financial Exploitation of Seniors and Other Investors
On January 8, 2026, FINRA issued Regulatory Notice 26-02 announcing proposals for a new rule and revisions to two existing rules. FINRA seeks to revise Rule 4512’s provisions regarding trusted contact persons, to increase Rule 2165’s maximum hold period, and to introduce Rule 2166 that allows for a “speed bump” hold when a member firm suspects fraud of any investor regardless of age or capacity....By: Bressler, Amery & Ross, P.C.
Read More