FINRA: Senior Investor Issues: Financial Exploitation


This course reminds registered representatives that fulfilling their regulatory obligations can help to protect senior investors from financial exploitation. Participants are presented with scenarios to help them learn how to detect situations or “red flags” that might indicate a senior client is being financially exploited.

Learning Objectives

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

  • recognize situations or red flags that might indicate financial exploitation of your senior clients
  • understand when to escalate financial exploitation concerns to the appropriate person or department at your firm
  • describe the potential risks for failing to report suspected financial exploitation

Designed For

All registered representatives and registered principals

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License or Certification