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Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation

NASAA, the SEC, and FINRA co-hosted a free webinar on identifying and reporting the financial exploitation of senior investors. Firms can use this webinar to help train associated persons about how to identify and report financial exploitation of senior and vulnerable adult investors.

The training serves as a resource for firms implementing the requirements of the federal “Senior Safe Act” (Section 303 of the ‘‘Economic Growth, Regulatory Relief, and Consumer Protection Act’’) and the state training requirements in Connecticut Gen. Statutes 16b.463. As of June 2023, the training satisfies state training requirements for certain firms and financial institutions relating to senior investor protection and set forth in Florida Statutes Section 517.34; Nevada NRS Sec. 90.614; New Mexico NMSA 1978, Section 58-13D-7; Puerto Rico OCFI Regulation 9368; and Washington RCW 74.34.220.