{"id":3813,"date":"2016-09-12T13:08:13","date_gmt":"2016-09-12T18:08:13","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/?p=3813"},"modified":"2022-03-11T13:39:54","modified_gmt":"2022-03-11T19:39:54","slug":"securities-regulator-news-nasaa-offers-guide-protecting-senior-investors-vulnerable-adults-states-disclose-2015-enforcement-statistics-sec-scrutinize-firms-rogue-brokers","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/securities-regulator-news-nasaa-offers-guide-protecting-senior-investors-vulnerable-adults-states-disclose-2015-enforcement-statistics-sec-scrutinize-firms-rogue-brokers\/","title":{"rendered":"Securities Regulator News: NASAA Offers Guide to Protecting Senior Investors and other Vulnerable Adults, States Disclose 2015 Enforcement Statistics, and SEC to Scrutinize Firms With Rogue Brokers\u00a0"},"content":{"rendered":"<p>\t\t\t\t<strong>NASAA Puts Out Practices and Procedures Guide to Protect Vulnerable Adults<\/strong><\/p>\n<p>The North American Securities Administrators Association has issued a guide to help investment advisory firms and broker-dealers create procedures and practices to help them identify and tackle suspected incidents of financial exploitation involving vulnerable adult clients, including senior investors and adults with diminished capacity. The guide provides steps that revolve around five key concepts:<\/p>\n<ul>\n<li>Identifying who is a vulnerable individual<\/li>\n<li>Governmental reporting<\/li>\n<li>Third-party reporting<\/li>\n<li>Delaying disbursement from the account of a client who is a vulnerable adult<\/li>\n<li>Ongoing regulator cooperation when a disbursement is delayed or a report of suspected financial exploitation is made.<\/li>\n<\/ul>\n<p>It was just recently that NASAA put into effect its Model Act to Protect Vulnerable Adults from Financial Exploitation and this guide is a companion to the act.<\/p>\n<p>If you are an elderly investor or a vulnerable adult who has suffered losses due to fraud, call our senior financial fraud law firm today.<\/p>\n<p> <a href=\"https:\/\/www.investorlawyers.com\/blog\/securities-regulator-news-nasaa-offers-guide-protecting-senior-investors-vulnerable-adults-states-disclose-2015-enforcement-statistics-sec-scrutinize-firms-rogue-brokers\/#more-3813\" class=\"more-link\">Continue Reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>NASAA Puts Out Practices and Procedures Guide to Protect Vulnerable Adults The North American Securities Administrators Association has issued a guide to help investment advisory firms and broker-dealers create procedures and practices to help them identify and tackle suspected incidents of financial exploitation involving vulnerable adult clients, including senior investors and adults with diminished capacity. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3781,3738,3870,3760,3803],"tags":[],"class_list":["post-3813","post","type-post","status-publish","format-standard","hentry","category-broker-fraud","category-investment-advisers","category-investor-fraud","category-nasaa","category-sec-enforcement","category-senior-investors"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Securities Regulator News: NASAA Offers Guide to Protecting Senior Investors and other Vulnerable Adults, States Disclose 2015 Enforcement Statistics, and SEC to Scrutinize Firms With Rogue Brokers\u00a0 &#8212; Investor Lawyers Blog &#8212; September 12, 2016<\/title>\n<meta name=\"description\" content=\"NASAA Puts Out Practices and Procedures Guide to Protect Vulnerable Adults The North American Securities Administrators Association has issued a guide to &#8212; September 12, 2016\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/securities-regulator-news-nasaa-offers-guide-protecting-senior-investors-vulnerable-adults-states-disclose-2015-enforcement-statistics-sec-scrutinize-firms-rogue-brokers\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Securities Regulator News: NASAA Offers Guide to Protecting Senior Investors and other Vulnerable Adults, States Disclose 2015 Enforcement Statistics, and SEC to Scrutinize Firms With Rogue Brokers\u00a0 &#8212; Investor Lawyers Blog &#8212; September 12, 2016\" \/>\n<meta name=\"twitter:description\" content=\"NASAA Puts Out Practices and Procedures Guide to Protect Vulnerable Adults The North American Securities Administrators Association has issued a guide to &#8212; September 12, 2016\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; 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