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Protecting senior and vulnerable investors

Member for

8 months 2 weeks
Schwab ID
A113296
Submitted by mark.mcdermott on Fri, 05/04/2018 - 18:19


In February 2017, the U.S. Securities and Exchange Commission approved the proposed amendment to FINRA Rule 4512 (Customer Account Information) issued by the Financial Industry Regulatory Authority (FINRA). These rules are intended to help you and Schwab protect potentially vulnerable clients from exploitation. In addition to the FINRA rules, which apply to broker-dealers such as Schwab, more than 15 states now have laws that create new obligations for investment advisors, investment advisor representatives, and broker-dealers. Many more states are considering similar laws.

Hear from Schwab's expert

Know the Warning Signs
This three-minute video provides an overview of common ways financial exploitation happens and a list of warning signs. 

Helping to Protect Your Clients
This two-minute video to learn what Schwab is doing to help protect senior and vulnerable investors from financial exploitation. 

Additional resources
Senior and Vulnerable Investor Program Frequently Asked Questions
Protecting Senior and Vulnerable Investors From Exploitation webcast

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