Compliance Practices to Protect Senior Investors

On-Demand Program

 

This Online Workshop covers regulatory considerations and industry practices to protect senior investors. Panelists representing the industry and regulators address specific areas of concern—including "free lunch" sales seminars and misleading professional credentials—and review what some firms are doing to avoid problems. The panel also addresses exam focus and findings. This program runs approximately 90 minutes and its original, live air date was December 13, 2007.


Registration Fees

 

Member

 Non-Member

 $25

 $50



System Test

Prior to registering for this session, we recommend testing your computer system to ensure it meets the minimum systems requirements for viewing Online Workshops. Test your system.

How to Register

 

Online

Register for the FINRA Online Workshop On-Demand Program
($25 - FINRA member rate or $50 - non-member rate).

Phone

To register by phone, please call (212) 858-4119.


Note: A confirmation email will be sent to you upon receipt of payment.

 

If you have questions regarding the Online Workshops, you can visit our Online Workshops FAQ, or email us.



FINRA's Online Workshops are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the Online Workshop does not constitute any NASD rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under NASD rules, the rules of any other SRO, or securities laws. Use of this Online Workshop does not create a safe harbor from regulatory responsibility. This Online Workshop is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the Online Workshops in any form, nor reference them in any publication, without the express written consent of FINRA.

 

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.