Protecting Senior Investors Report Of Examinations Of Securities Firms Providing Free Lunch Sales Seminars
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Protecting Senior Investors
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Author : United States. Securities and Exchange Comission. Office of Compliance Inspection and Examination
language : en
Publisher:
Release Date : 2007
Protecting Senior Investors written by United States. Securities and Exchange Comission. Office of Compliance Inspection and Examination and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2007 with Securities fraud categories.
Protecting Senior Investors Report Of Examinations Of Securities Firms Providing Free Lunch Sales Seminars
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Author : Office of Compliance Inspections and Exa
language : en
Publisher: Createspace Independent Pub
Release Date : 2014-07-13
Protecting Senior Investors Report Of Examinations Of Securities Firms Providing Free Lunch Sales Seminars written by Office of Compliance Inspections and Exa and has been published by Createspace Independent Pub this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-07-13 with Business & Economics categories.
With the aging of the baby boom generation, a growing number of our nation's investors are at or near retirement age. Indeed, data presented at the first “Seniors Summit” held by the Securities and Exchange Commission (SEC) in July 2006 indicated that 75% of the nation's consumer financial assets, valued at $16 trillion, are held by households headed by someone who is 50 or older. Within the next 20 years, 75 million people will have celebrated their 60th birthday. Because these “senior investors” are a growing segment of investors, financial services firms are increasingly focusing their marketing and sales of investment products towards the senior investor or those investors nearing retirement age. Within this broader context, securities regulators are concerned about the possibility of unscrupulous and abusive sales practices and investment frauds targeted towards senior investors. In fact, some data indicates that although individuals aged 60 or older make up 15% of the U.S. population, they account for 30% of fraud victims.In response to this concern, in May 2006, the SEC and the North American Securities Administrators Association (NASAA) announced a coordinated national initiative designed to protect seniors from investment fraud and sales of unsuitable securities. Working together with the NASD and the NYSE Member Regulation Inc. (now consolidated as the Financial Industry Regulatory Authority, or FINRA), the SEC and NASAA initiative includes three components: active investor education and outreach to seniors and those nearing retirement age; targeted examinations to detect abusive sales tactics aimed at seniors; and aggressive enforcement of securities laws in cases of fraud against seniors. This joint and collaborative initiative by securities regulators is designed to build on the existing efforts that each regulator had underway, toward a shared mission to protect senior investors. This initiative is active and ongoing.As part of this effort to protect senior investors, regulators initiated a series of coordinated on-site examinations of broker-dealers, investment advisers and other financial services firms that offer so-called “free lunch” sales seminars. These seminars are widely offered by financial services firms seeking to sell financial products, and they often include a free meal for attendees. Sales seminars are often advertised in local newspapers, through mass-mailed invitations, mass-email, and on websites. While specific data is not available regarding the actual number of sales seminars being conducted, regulators believe that the number of sales seminars has increased in recent years, as financial services firms are increasingly seeking to provide advice to seniors and those approaching retirement.
Sec Docket
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Author : United States. Securities and Exchange Commission
language : en
Publisher:
Release Date : 2008
Sec Docket written by United States. Securities and Exchange Commission and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Securities categories.
Nominations Of Neel Kashkari Christopher Wall Sheila Mcnamara Greenwood Susan Peppler Joseph Murin Luis Aguilar Troy Paredes Elisse Walter Donald Marron And Michael Fryzel
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
language : en
Publisher:
Release Date : 2010
Nominations Of Neel Kashkari Christopher Wall Sheila Mcnamara Greenwood Susan Peppler Joseph Murin Luis Aguilar Troy Paredes Elisse Walter Donald Marron And Michael Fryzel written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010 with Law categories.
Financial Decision Making And Retirement Security In An Aging World
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Author : Olivia S. Mitchell
language : en
Publisher: Oxford University Press
Release Date : 2017-09-29
Financial Decision Making And Retirement Security In An Aging World written by Olivia S. Mitchell and has been published by Oxford University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-09-29 with Business & Economics categories.
As the world's population lives longer, it will become increasingly important for plan sponsors, retirement advisors, regulators, and financial firms to focus closely on how older persons fare in the face of rising difficulties with cognition and financial management. This book offers state-of-the-art research and recommendations on how to evaluate when older persons need financial advice, help them make better financial decisions, and to identify policy options for handling these individual and social challenges efficiently and fairly. This latest volume in the Pension Research Council series, draws lessons from theory and practice, and will be of interest to employees and retirees, consumers and researchers, and financial institutions working to design better retirement plan offerings.
Financial Fraud And Abuse
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Author :
language : en
Publisher: UCANR Publications
Release Date :
Financial Fraud And Abuse written by and has been published by UCANR Publications this book supported file pdf, txt, epub, kindle and other format this book has been release on with categories.
Building The Ladder Of Opportunity
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Author : United States. Congress. Senate. Committee on Health, Education, Labor, and Pensions
language : en
Publisher:
Release Date : 2014
Building The Ladder Of Opportunity written by United States. Congress. Senate. Committee on Health, Education, Labor, and Pensions and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014 with Income distribution categories.
Finra Sec Compliance And Enforcement
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Author :
language : en
Publisher:
Release Date : 2008
Finra Sec Compliance And Enforcement written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Financial services industry categories.
The Smartest Retirement Book You Ll Ever Read
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Author : Daniel R. Solin
language : en
Publisher: Penguin
Release Date : 2009-09-01
The Smartest Retirement Book You Ll Ever Read written by Daniel R. Solin and has been published by Penguin this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009-09-01 with Business & Economics categories.
Follow the advice in The Smartest Retirement Book You'll Ever Read and you will: Find simple strategies to maximize your retirement nest egg Steer clear of scams that rob you of your hard-earned savings Ensure that your money lasts longer than you do Avoid the common mistakes that can leave your spouse impoverished Discover financial lifelines no matter how desperate the economy "If you want a handy guide that provides information in small chunks, Solin's book is it." -Newark Star-Ledger
The Market For Retirement Financial Advice
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Author : Olivia S. Mitchell
language : en
Publisher: Oxford University Press, USA
Release Date : 2013-10
The Market For Retirement Financial Advice written by Olivia S. Mitchell and has been published by Oxford University Press, USA this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-10 with Business & Economics categories.
The latest volume in the Pension Research Council series examines the financial advice profession as financial literacy becomes increasingly necessary for those saving for retirement.