[Webinar] Senior Exploitation & Regulatory Concerns

— [Register Below] —

According to FINRA, approximately 10,000 Americans will turn 65 every day over the next decade, with their investments accounting for more than 75 percent of all financial assets in the United States. Equally significant, by some estimates, one in five Americans aged 65 and older has been victimized by financial fraud. As wealth continues to concentrate in America’s elderly demographic, it’s important for broker-dealers and their compliance departments to review and, where warranted, enhance their policies, procedures and practices, in light of the special issues common to many senior investors.

In this webinar, we’ll discuss some of the major compliance concerns associated with this aging population. More specifically, we’ll highlight a survey conducted by the NASAA which focuses on broker-dealer’s practices and procedures in relation to senior investors. We’ll also touch on FINRA’s recent rule changes, exam hot topics and tips for how firms should tailor their compliance programs to better serve senior investors. Join the discussion July 19, 2017 at 12PM CST.


1. Elder Financial Exploitation
– Recent Disciplinary Actions
– Why This Remains a Continuous Concern?
2. Recent Regulation
– FINRA Recent Amendments & Rule Changes
– Growing Expectations from States
3. Compliance Takeaways
– Current Exam Focuses
– What Firms Can Do to Protect Themselves



The seat limit per session is 100 participants. The anticipated duration of this webinar is 45 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or sales@questce.com.


About Quest CE

For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.

Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.