Aggregated News From Investment Management Regulators

SR-FINRA-2021-016 | Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults)

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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) extend a temporary hold on a disbursement of funds or securities or a transaction in securities for an additional 30-business days if the member firm has reported the matter to a state regulator or agency or a court of competent jurisdiction; and (2) place a temporary hold on a securities transactions where there is a reasonable belief of financial exploitation.

Title Format – Size Status
Text of the Proposed Rule Change PDF – 4.18 MB New

This news item was originally published by the Financial Industry Regulatory Authority (FINRA US). For more information, see the Source Link.

Regulator Information

Abbreviation: FINRA
Jurisdiction: United States

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