1e. BD/IA – Protecting Vulnerable Adults (Intermediate)


One of the primary missions of the Securities and Exchange Commission (“SEC”), State Regulators, and the Financial Industry Regulatory Authority (“FINRA”) is the protection of investors, of which senior investors are a rapidly growing client base. This session will address problem areas for vulnerable adults and offer strategies for developing proactive safeguards in firms from a regulatory and industry standpoint.

Learning Objectives:

  • Discuss best practices for training of firm representatives with regard to senior specific issues and how firms address issues relating to aging (e.g., diminished capacity and elder financial abuse or exploitation)
  • Address appropriate marketing and communications to senior investors including a review of the types of customer account information required to open accounts for senior investors
  • Examine examples of suitability of securities sold to senior investors as well as recommended disclosures
  • Review best practices for tracking complaints, reporting requirements, and supervision of registered representatives as they interact with senior investors

Intermediate                        Program Level: Date: October 19, 2020 Time: 10:00 am - 11:15 am Mario Chilin Joshua Horn

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