Senate Bill 95, House Bill 2622 and FINRA Rules 2165 & 4512
What Oregon Securities Professionals, Financial Institutions and Trust Companies Need to Know
The Oregon Legislature passed Senate Bill 95 and House Bill 2622 to amend and create new law regarding reporting by certain securities professionals of suspected financial exploitation by others. For securities professionals, certain financial institutions and trust companies, the new bills allow discretionary temporary holds on disbursements and certain other account activity. FINRA Rules 2165 and 4512 create complementary requirements and discretionary holds for FINRA-registered brokers.
Fiduciary litigator Victoria Blachly and securities litigator/FINRA arbitrator Darlene Pasieczny explain how these new laws and rules seek to empower financial professionals to help their clients. Victoria and Darlene also will address capacity, red flags of potential financial abuse, and the reporting process for suspected exploitation.
To register, please contact us at email@example.com or 503.226.2966.
Space is limited to the first 25 attendees to RSVP (required). Be sure to register soon to reserve your seat!