{"id":4569,"date":"2008-02-21T00:22:49","date_gmt":"2008-02-21T00:22:49","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2008\/02\/finra_sec_and_nasaa_announce_n"},"modified":"2022-03-25T15:56:08","modified_gmt":"2022-03-25T20:56:08","slug":"finra-sec-and-nasaa-announce-n","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-sec-and-nasaa-announce-n\/","title":{"rendered":"FINRA, SEC, and NASAA Announce New Initiative for Protecting Senior Investors"},"content":{"rendered":"<p>\t\t\t\tThe Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the North American Securities Administrators Association (NASAA) have announced a new group initiative to protect senior investors from becoming the victims of investment scams.<\/p>\n<p>SEC, NASAA, and FINRA will work with investment advisers and broker-dealer companies to identify effective compliance and supervisory practices involving senior investors. Areas of exploration will include:<\/p>\n<p>\u2022\tOpening accounts \u2022\tTraining company employees \u2022\tMarketing practices \u2022\tAdvertising practices \u2022\tReview of products and accounts \u2022\tFulfilling the evolving needs of aging investors \u2022\tRegularly reviewing products <\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/finra-sec-and-nasaa-announce-n\/\"  title=\"Continue Reading FINRA, SEC, and NASAA Announce New Initiative for Protecting Senior Investors\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the North American Securities Administrators Association (NASAA) have announced a new group initiative to protect senior investors from becoming the victims of investment scams. SEC, NASAA, and FINRA will work with investment advisers and broker-dealer companies to identify effective compliance and supervisory [&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":[3739,3801],"tags":[],"class_list":["post-4569","post","type-post","status-publish","format-standard","hentry","category-finra","category-sec"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA, SEC, and NASAA Announce New Initiative for Protecting Senior Investors &#8212; Investor Lawyers Blog &#8212; February 21, 2008<\/title>\n<meta name=\"description\" content=\"The Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the North American Securities Administrators &#8212; February 21, 2008\" \/>\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\/finra-sec-and-nasaa-announce-n\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA, SEC, and NASAA Announce New Initiative for Protecting Senior Investors &#8212; 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