Appendix – Senior Investor Protection Resources

FINRA Resources

• Senior Investors Topic Page
• FINRA Securities Helpline for Seniors
• Regulatory Notice 19-36 (FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary of Holding a Position of Trust for or on Behalf of Customer)
• Regulatory Notice 19-27 (FINRA Requests Comment on Rules and Issues Relating to Senior Investors) 
• Regulatory Notice 17-11 (SEC Approves Rules Relating to Financial Exploitation of Seniors 
• Protecting Seniors From Financial Exploitation (April 25, 2018)
• NASAA-SEC-FINRA Senior Safe Act Fact Sheet (May 23, 2019)
• FINRA and SEC Office of Investor Education and Advocacy, Please Consider Adding a Trusted Contact to Your Account (March 4, 2020)
• Report on the FINRA Securities Helpline for Seniors (December 2015)

SEC Resources

• SEC’s Seniors Topic Page
• SEC’s Investor.gov Seniors Topic Page
• SEC Division of Investment Management, Response of the Chief Counsel’s Office to the Investment Company Institute (June 1, 2018)
• SEC Office of the Investor Advocate, How the SEC Works to Protect Senior Investors (May 2019)
• Interagency Guidance on Privacy Laws and Reporting Financial Abuse of Older Adults
• Investor Alerts
  • Help for Adult Protecting Services (APS) Workers Encountering Senior Investor Fraud (May 9, 2017)
  • How to Avoid Fraud
  • Don’t Invite Investment Scams to Find You (Sept. 28, 2018)
  • Ponzi Schemes Targeting Seniors (April 9, 2018)
• Brochures
  • Guide for Seniors: Protect Yourself Against Investment Fraud
  • Stopping Affinity Fraud in Your Community

NASAA Resources

• Serve Our Seniors Webpage
• NASAA Guide for Developing Practices and Procedures for Protecting Senior Investors and Vulnerable Adults from Financial Exploitation (September 2016)
• NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation

Financial Crimes Enforcement Network Resources (FinCEN)

• Advisory to Financial Institutions on Filing Suspicious Activity Reports Regarding Elder Financial Exploitation (February 2011)
• FinCEN Advisory Warns of Elder Financial Exploitation (February 2011)
• Memorandum on Financial Institution and Law Enforcement Efforts to Combat Elder Financial Exploitation (August 2017)

Consumer Financial Protection Bureau Resources

• Reporting of Suspected Elder Financial Exploitation by Financial Institutions (July 2019)
• Suspicious Activity Reports on Elder Financial Exploitation: Issues and Trends (February 2019)
• Recommendations and Report for Financial Institutions on Preventing and Responding to Elder Financial Exploitation (March 2016)