Senior and At-Risk Investors

SKU: SEC026

CLE Courses Available on DVDs, Audio CDs, Online & iOS/Android App

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About This Course

Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected.

After attending this session, you will be able to:

  • Review FINRA Rules 2165 & 4512
  • Discuss elder abuse prevention and protection act
  • Review State Report and hold laws

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Get the courses that you need and the forms completed in days — not weeks or months.

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Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

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Riveting Content & an Exceptional Library

Experience outstanding presenters.

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Free Customized CLE Tracker

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App and DVD options

CDs, DVDs, Online, iOS & Android App

Learn at your pace, in the format that you prefer.

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