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



Recent Customer Course Comments

Comments are from students across the country who have recently completed the latest version of the course(s).


WS William S.
Course completed 1/31/2025

The course content was very comprehensive and relatable to the subject that was being discussed. I liked the blend of background information about seniors coupled with the regulatory requirements to help protect seniors.



DJ Daniel J.
Course completed 1/29/2025

Great Information



RD Ryan D.
Course completed 1/28/2025

There were typos and poorly worded questions.



DE Daniel E.
Course completed 12/17/2024

Interactive scenarios would likely help with retention of key points. My mother was a victim of financial fraud during her early stage of dementia. This course hits home.



CF Charles F.
Course completed 12/14/2024

Some of the material was duplicated, but overall a very good, and relevant, course! Thank you!



JH Joseph H.
Course completed 12/11/2024

Sufficient content.



JW Jon W.
Course completed 12/10/2024

all good



FV Francisco V.
Course completed 12/3/2024

Good coverage of a difficult topic. Some questions were worded in an awkward manner My rep on the phone "Jose"" was an excellent guide for navigating the different types of requirements to complete fill my required CE courses...Thank you!



AH Andrew H.
Course completed 12/3/2024

Way better than the other programs I've used (kitces, reged)



FL Frank L.
Course completed 11/11/2024

The individuals on the phone were very helpful answering questions about what classes counted towards CE and reviewing previous classes I have taken to make sure they would count.



LL Laura L.
Course completed 10/8/2024

I am not crazy about the trick questions.



JG James G.
Course completed 10/7/2024

Content was very appropriate and was presented well. Overall, it was well written.



AW Anthony W.
Course completed 10/5/2024

Some words or phrases were inaudible in the read-it-to-me audio.



GG GREGORY G.
Course completed 10/3/2024

The coursework is too long and repetitive.



NF Nancy F.
Course completed 10/2/2024

Future use will depend upon whether there are enough courses that I haven't already taken.



RW Robert W.
Course completed 9/29/2024

THANKS!



DB Daniel B.
Course completed 9/26/2024

The time is too long for the credit hours. Many courses use 50 minutes for 1 hour of credit. You use around1.25 hours per 1 hour. Maybe these courses require more???



CS Charles S.
Course completed 9/26/2024

weak content. not useful in practice-6th grade level.