Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

FINRA: Senior Investor Issues: Financial Exploitation

Overview

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

Find this course for your license:

License or Certification

Regulator

Type