Overview
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
Regulator
Type