FINRA: Senior Investor Issues: Diminished Decisional Capacity


This course consolidates the insights and research of leading academic, medical and legal professionals, psychologists and organizations on the topic of diminished decisional capacity. It provides information that registered representatives may find useful for identifying, working with and responding to senior investors or other customers with potential diminished— or diminishing—decisional capacity.

Learning Objectives

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

  • better understand diminished decisional capacity
  • identify effective practices for working with senior investors
  • recognize possible signs of diminished decisional capacity
  • understand when and how to escalate a potential diminished decisional capacity issue. - Understand risks associated with ignoring possible signs of diminished capacity

Designed For

All registered representatives and registered principals

Find this course for your license:

License or Certification