To prevent financial exploitation of seniors, FINRA requires that when opening an account for a client, reasonable efforts must be made to obtain the name, phone number, and mailing or e-mail address of:

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21-01-2022
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To prevent financial exploitation of seniors, FINRA requires that when opening an account for a client, reasonable efforts must be made to obtain the name, phone number, and mailing or e-mail address of:

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Parrain Parrain · Answer 1 · 2022-01-27T13:28:15+01:00

To ensure that seniors are not taken advantage of financially, FINRA requires that the contacts and names of a Trusted Contact is sought.

FINRA Rule 2165

Introduces methods to prevent the exploitation of seniors.
Mandates that the name and contact of a trusted contact to the senior is sought.

This contact is to be alerted when there are suspicious transactions on the senior's account. The rule also allows temporary holds to be issued on the senior's account.

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