FINRA Compliance Protecting Senior Investors (Interactive)

Protecting Senior Investors (Interactive)

30.00 0.00
$30.00 $0.00
PRICE PER USER
$
X
USERS


=
SUBTOTAL
$
  • Course Delivery: On Demand
  • Duration: 2 

Chat Live | Contact Us | Toll Free: (888) 360-8764

 

Description

This course will discuss initiatives by securities regulators to protect senior investors. The course is divided into two lessons:
Lesson 1: Defining the Problem, The 2006 and 2007 Senior Summits, and FINRA Regulatory Notice 07-43
Lesson 2: 2008 Senior Summit, Best Practices, and Enforcement

 

Course Objectives

After completing this course, you should be able to:
- Discuss the particular vulnerabilities of senior investors.
- Describe the purposes and results of the three "Senior Summits."
- Discuss the guidance offered with respect to senior investor issues in the areas of communication, suitability, and supervision.
- Discuss the problems of diminished capacity and elder financial abuse.
- Describe measures taken at the state level for the protection of seniors.

Related Courses

FINRA Compliance Information Security and Privacy Fundamentals

Information Security and Privacy Fundamentals

$1.00

Learn More
FINRA Compliance Business Ethics - Advanced (Comprehensive Course)

Business Ethics - Advanced (Comprehensive Course)

$30.00

Learn More
FINRA Compliance Conflicts of Interest (Comprehensive Course)

Conflicts of Interest (Comprehensive Course)

$50.00 $30.00

Learn More

Got questions? Contact us below or call 877-881-2235

Why Choose 360training.com?

  • Fast and easy courses completion
  • Get an education faster than at traditional colleges!
  • 100% online - No classroom attendance required.
  • Unlimited 24x7 online customer support
  • Over 500,000+ certified nationwide.

Related Courses

FINRA Compliance Information Security and Privacy Fundamentals

Information Security and Privacy Fundamentals

$1.00

Learn More
FINRA Compliance Business Ethics - Advanced (Comprehensive Course)

Business Ethics - Advanced (Comprehensive Course)

$30.00

Learn More
FINRA Compliance Conflicts of Interest (Comprehensive Course)

Conflicts of Interest (Comprehensive Course)

$50.00 $30.00

Learn More