FINRA Webcast

Supervisory Considerations for Working with Seniors

This webcast describes what to be aware of when supervising sales to seniors. At just over 11 minutes in length, the program focuses on suitability and important communications issues, and then reinforces the content with a scenario.

 

View Webcast

This webcast is also available as a SCORM compliant e-learning video course with optional assessment testing, completion tracking and certificates of completion.

Related Resources:

NASD Rule 2110 - Standards of Commercial Honor and Principles of Trade


NASD Rule 2210 - Communications with the Public


NASD Rule 2310 - Recommendations to Customers (Suitability)


NASD Rule 3010 - Supervision


NYSE Rule 472 - Communications with the Public


Regulatory Notice 07-43


Regulatory Notice 07-53

 

View Other Available Webcasts

 

For firms that use FINRA webcasts for training purposes, please be aware that FINRA now offers webcast tracking through the Report Center.

 

Contact Us

 
 

Important Viewing Notes:

Access
Some firms have firewalls that are not configured to allow audio/video from the Internet. Please check with your IT department to resolve this issue.

Required Software
Accessing the webcast requires Macromedia Flash 8.0 or higher.

 

Download Macromedia FlashPlayer

Required Hardware
Your computer must have a sound card and speakers (internal or external) in order to hear the webcast.