IAR CE

Senior Investor Concerns

Overview

Protecting senior investors is an essential part of your role and has long been a focus of regulators. Through the adoption of rules and regulations, regulators provide guidance and define your obligations concerning your dealings with this segment of the population. This course will look at issues facing senior investors and will discuss applicable rules and regulations to assist you in serving your senior investor clients.

Summary Details

Hours

2.0

Price

$20.00





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Learning Objectives

  • Identify the unique needs of senior investors
  • Understand how to identify potential exploitation of a senior investor
  • Understand the regulations surrounding working with and protecting senior investors


Designed For:

Investment Adviser Representatives



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Available
Course Approval Number: C25648
Provider of Record: WebCE
Provider Number: 90082
Last Reviewed: March 2023
Study Level: Intermediate
Approved For: Ethics and Professional Responsibility

Exam

Proctor: No
Passing Grade: 70
Questions: 20



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