FINRA Webcast

Considerations for Working with Seniors

This webcast reviews considerations a registered representative should employ when interacting with a senior customer. It focuses on suitability and other important communication issues, and highlights other factors you should be aware of when working with Baby Boomers who are at or nearing retirement, as well as with older investors.

 

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Related Resources:

NASD Rule 2310 - Recommendations to Customers

Regulatory Notice 07-43

SR-NASD-2004-183

SEC Release No. 34-56375; File No. SR-NASD-2004-183

 

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