Senior Investors: Suitability and Trusted Contacts


One of FINRA’s priorities is the protection of senior investors, as well as Baby Boomers who are at or approaching retirement. As a registered representative, you have related compliance obligations to both your firm and your clients regarding these clients. This course provides an in-depth review of those obligations. 

Learning Objectives

Upon completion of this course, you should be able to:

  • Identify the requirements for determining suitability
  • Describe additional considerations for determining suitability for senior investors
  • Identify the rules concerning trusted contacts
  • Describe additional considerations for trusted contacts for senior investors
  • Identify requirements for fund disbursement holds when exploitation is suspected

Designed For

Registered Representatives, Investment Advisers 

Find this course for your license:

License or Certification