FINRA Compliance Protecting Senior Investors (Interactive)

Protecting Senior Investors (Interactive)

30.00 30.00
$30.00
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  • Course Delivery: On Demand
  • Duration: 2 
 

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.

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