Protecting senior investors is an essential part of your role and has long been a focus of regulators. Through the adoption of rules and regulations, regulators provide guidance and define your obligations concerning your dealings with this segment of the population. This course will look at issues facing senior investors and will discuss applicable rules and regulations to assist you in serving your senior investor clients.
Designed For:
Adding additional credit may change exam requirements.
| Access Period: | 12 months |
| Prerequisites: | None |
| Delivery Method: | Self-Study |
| PDF Download: | Available |
| Course Approval Number: | C25648 |
| Provider of Record: | WebCE |
| Provider Number: | 90082 |
| Last Reviewed: | January 2026 |
| Study Level: | Intermediate |
| Approved For: | Ethics and Professional Responsibility |
| Proctor: | No |
| Passing Grade: | 70 |
| Questions: | 20 |
| Retakes: | 3 |
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