FINRA views the protection of senior investors, as well as baby boomers who are retired or approaching retirement, as a top priority. One topic of great concern to regulators is the treatment of the senior investor and the unique challenges presented when dealing with seniors. This course addresses some of those concerns including financial abuse of senior investors and the regulatory concerns of free lunch seminars.

Upon completion of this course, students will be able to:

• recognize the signs of dementia or other health concerns
• understand the rules and regulations surrounding the free lunch
• understand the use of senior designations
• understand suitability concerns for seniors

Retail Representatives, Investment Advisory