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PROTECTING SENIOR'S RETIREMENT NEST EGGS
04/17/2015

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have issued the National Senior Investor Initiative report, which draws on examinations of how brokerage firms conduct business with senior investors. The examinations by the SEC's Office of Compliance Inspections and Examinations (OCIE) and FINRA looked at the types of securities purchased by senior investors, the suitability of recommended investments, training of brokerage firm representatives, marketing, communications, use of designations such as "senior specialist," account documentation, disclosures, customer complaints and supervision... HIGHLIGHTED EVENT: The Investor Protection Trust and the Investor Protection Institute will participate Saturday (April 18, 2015) in the 2015 Iowa Money Smart Investor Conference taking place from 7:30-1 p.m. CDT on the Drake campus, Meredith Hall, 2805 University Avenue, Des Moines, IA. To see the full 2015 Iowa Money Smart Investor Conference agenda, go to www.MoneySmartConference.com ...

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A foundation partnering for the financial well-being of the public, the National Endowment for Financial Education® (NEFE®) evolved from and served as the parent entity of the Denver-based, non-profit College for Financial Planning, which was founded in 1972 as the nation's first financial planning educational institution. NEFE is the only private, nonprofit foundation wholly dedicated to educating Americans about personal finance and empowering them to make positive and sound decisions in order to reach their financial goals. NEFE is completely non-partisan, unbiased and focused on consumer education, providing a crucial voice against the rapid rise in unchecked consumer spending and debt accumulation.



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