NASAA, the SEC, and FINRA have created this training presentation as a resource for the securities industry. Firms can use this presentation to train associated persons about how to detect, prevent, and report financial exploitation of senior and vulnerable adult investors. The training serves as a resource for firms implementing the requirements of the federal “Senior Safe Act” (Section 303 of the ‘‘Economic Growth, Regulatory Relief, and Consumer Protection Act’’) and the state training requirements for certain firms and financial institutions relating to senior investor protection.

Note: This is a free training course developed collaboratively by FINRA, SEC, and NASAA in support of their senior investor protection initiative. 
It is intended to assist firms in implementing the Senior Safe Act training requirements. As the required training must be specific to organizations and roles, this training by itself is not sufficient to satisfy the training requirements. 

Registered representatives and registered principals