Protecting Senior Investors and Vulnerable Adults


Protection of senior investors and other vulnerable adults has long been a focus of regulators. They have adopted rules and regulations that provide guidance and define your obligations concerning your dealings with this segment of the population. This course takes a look at that guidance and reviews the rules and regulations to assist you in serving your senior investor and/or vulnerable adult clients. 

Learning Objectives

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

  • understand the unique needs of senior investors
  • define vulnerable adult
  • understand the rules and regulations surrounding your dealings with senior investors and vulnerable adults

Designed For

Retail Representatives 

Find this course for your license:

License or Certification