Expert-Led Instruction

Learn from a NASAA-approved instructor with 20 years of hands-on RIA compliance and regulatory experience—not just theory, but real-world insights you can apply immediately.

NASAA-Approved Courses

Meet your annual 12-credit requirement with courses approved by NASAA and accepted in all states that have adopted the Model Rule for Investment Adviser Representatives.

Practical and Relevant Content

Go beyond checkbox compliance with courses designed specifically for IARs—covering Products & Practice and Ethics & Professional Responsibility with examples from actual advisory practices.

About the course

This course equips investment adviser representatives with the ethical framework and practical tools needed to serve senior clients effectively while protecting them from financial exploitation. Participants will explore the evolving regulatory landscape for senior investor protection, including FINRA Rules 2165 and 4512, SEC fiduciary standards, and NASAA Model Rules. The course examines enhanced suitability considerations unique to older investors, ethical communication strategies, and the proper use of trusted contact persons. Participants will learn to recognize warning signs of diminished capacity and financial exploitation, understand mandatory reporting obligations and Senior Safe Act protections, and implement appropriate response protocols that balance client autonomy with protection obligations. Through practical case studies covering scenarios from uncharacteristic withdrawals to romance scams to family disputes, participants will apply a four-step ethical decision-making framework and develop best practices for firm-level senior investor protection programs. IARs will leave with the skills to navigate the complex ethical challenges that arise when advising America's growing senior investor population.

Curriculum

5 Chapters · 6 Lessons

  1. 1

    Course Description

    1. (Included in full purchase)

      Course Description

  2. 2

    Course Learning Objectives

    1. (Included in full purchase)

      Learning Objectives

  3. 3

    Ethics for Senior Investor Care

    1. (Included in full purchase)

      Ethics for Senior Investor Care

  4. 4

    Course Assessment

    1. (Included in full purchase)

      Course Assessment Instructions

    2. (Included in full purchase)

      Course Assessment - Ethics for Senior Investor Care

  5. 5

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey - Ethics for Senior Investor Care

Ready to Better Serve and Protect Your Senior Clients? Enroll Today and Strengthen Your Senior Investor Protection Skills.

Start Learning: Enroll in Senior Investor Protection Training

$9.99

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