SEC, NASAA, FINRA to Co-Host Webinar on Identifying and Reporting Suspected Senior Financial Exploitation

In view of the upcoming World Elder Abuse Awareness Day, the Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and the Financial Industry Regulatory Authority (FINRA) will be co-hosting a new Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation. The webinar will take place on June 15, 2023, between 4:00 p.m. and 5:00 p.m. Eastern Time (ET), and will be open to the public. Registrations may be made via this link.
The webinar is particularly addressed at FINRA member firms and their representatives, and all other firms handling senior client accounts and will count in many states towards mandatory continuous education requirements in relation to the Senior Safe Act. The webinar will build upon the training material that was released in 2021 and which shall help firms detect and address financial exploitation of elderly investors and provide an overview of applicable rules and regulations.