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2019 Senior Investor Protection Conference Agenda


The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior investors and vulnerable adults. This conference includes an expanded focus on FINRA Rules 2165 and 4512—which provide firms with tools to help protect seniors and vulnerable investors from financial exploitation. The conference also offers opportunities to network and discuss issues specific to senior investors with FINRA staff and industry practitioners.


Tuesday, November 12

7:30 a.m. – 4:30 p.m.


7:30 a.m. – 8:30 a.m.

Networking Breakfast

8:30 a.m. – 8:35 a.m.

Welcome and Opening Remarks

8:35 a.m. – 9:20 a.m.

Keynote Address

9:20 a.m. – 9:30 a.m.

Networking Break

9:30 a.m. – 10:20 a.m.

Diminished Capacity and Suspected Elder Abuse

As the number of older Americans continues to climb, registered advisors face a critical challenge – how to take care of clients experiencing diminished capacity or financial exploitation. During this session, panelists share helpful tools to address privacy concerns, helpful contractual protections, identification of red flags and steps to take once the red flags are identified.

10:20 a.m. – 10:30 a.m.

Networking Break

10:30 a.m. – 11:20 a.m.

Working With Senior Investors

During this session, FINRA staff and industry panelists discuss the current and upcoming senior population, and provide practical tips for working with an aging decision maker. As marketing and communicating to senior investors is a vital part of many firms’ business, panelists will also highlight the importance of ensuring clear and effective communication, and discuss varied oversight practices.

11:20 a.m. – 11:30 a.m.

Networking Break

11:30 a.m. – 12:00 p.m.

Fireside Chat Featuring FINRA President and CEO Robert Cook and Senior Vice President of Member Relations and Education Chip Jones

12:00 p.m. – 1:15 p.m.

Networking Lunch and Dessert With Exhibitors

1:15 p.m. – 2:05 p.m.

Suitability and Sales Practices Considerations for Senior Investors

When working with senior clients, it is important for a firm’s procedures and controls to properly gauge the suitability of recommendations to senior investors and ensure clear, straightforward sales practices. Join FINRA staff and industry experts as they discuss FINRA’s suitability rule, the rule’s potential interplay with cognitive decline, and the importance of ensuring senior clients understand product risks.

2:05 p.m. – 2:15 p.m.

Networking Break

2:15 p.m. – 3:15 p.m.

Scams Targeting Older Investors

In recent years, senior investors have increasingly been victims of investor scams. During this session, panelists highlight emerging trends in investor scams used to defraud older investors, provide tips to identify potential “red flags” and discuss who to contact if a fraudulent scheme is suspected.

3:15 p.m. – 3:30 p.m.

Networking Break

3:30 p.m. – 4:30 p.m.

Legal and Regulatory Update

Panelists explore the evolving regulatory structure surrounding senior investor protections and the challenges facing regulators and financial services professionals when developing an effective, efficient and integrated protection framework.

4:30 p.m.

Conference Adjourns

This agenda is subject to change.