Protecting Seniors and Other Vulnerable Investors: Developments in the Law and Regulatory Initiatives [CC]

Protecting Seniors and Other Vulnerable Investors: Developments in the Law and Regulatory Initiatives [CC] — CLE 60 min

Due to the rapid aging of the U.S. population in general and investors in particular, issues relating to diminished capacity and vulnerable investors are a main focus of regulators and securities firms.

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Available for credit

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Available for credit

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2021

1.00 total credit hours including

Substantive Law

Status:

Available for credit

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/10/2022

1.00 total credit hours including

General

Status:

Available for credit

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

09/09/2021

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2025

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

1.20 total credit hours including

General

Status:

Self apply

1.20 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2023

1.20 total credit hours including

General

Status:

Available for credit

1.20 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Available for credit

1.00 credit hours

Available until:

03/09/2023

1.20 total credit hours including

General

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Reciprocity

1.20 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2025

1.00 total credit hours including

Areas of Professional Practice

Status:

Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

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Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

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Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

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Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

Substantive

Status:

Available for credit

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2022

1.00 total credit hours including

General

Status:

Available for credit

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

02/28/2021

1.00 total credit hours including

General

Status:

Applied for

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

10/30/2020

1.00 total credit hours including

Law & Legal Procedure

Status:

Approved

1.00 credit hours

Available until:

03/09/2025

1.20 total credit hours including

General

Status:

Approved

1.20 credit hours

Available until:

03/09/2023

1.00 total credit hours including

General

Status:

Approved

1.00 credit hours

Available until:

03/09/2021

1.00 total credit hours including

General

Status:

Self apply

1.00 credit hours

Available until:

03/09/2023

$125

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$75

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Closed Captioned. The panel will analyze recent developments in the law and state regulations governing the handling of accounts held by seniors and vulnerable investors as well as the challenges faced by securities firms in minimizing the exploitation of senior investors and clients with diminished capacity. The panel will also discuss the latest regulatory initiatives to provide protection to senior clients in the security industry and latest trends in report and hold laws in state legislatures.

Moderators

Lawrence E Fenster

Panelists

Melissa Acayan, Richard Szuch

Sponsors

Section of Litigation

Product Code

LT2003SENOLC

Duration

60

Publication Date

3/10/2020 12:00:00 AM

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