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

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

    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.

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    1.00 total credit hours including

    • General

      Status:

      Approved

      1.00 credit hours

      Available until:

      03/09/2023

    1.00 total credit hours including

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      Available for credit

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      Available until:

      03/09/2023

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      Available for credit

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      03/09/2022

    1.00 total credit hours including

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      Approved

      1.00 credit hours

      Available until:

      03/09/2021

    1.00 total credit hours including

    • Substantive Law

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      Available for credit

      1.00 credit hours

      Available until:

      03/09/2023

    1.00 total credit hours including

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      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

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      Status:

      Available for credit

      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:

      03/09/2022

    1.00 total credit hours including

    • General

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      Self apply

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      Available until:

      03/09/2023

    1.00 total credit hours including

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      Self apply

      1.00 credit hours

      Available until:

      09/09/2021

    1.00 total credit hours including

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      Applied for

      1.00 credit hours

      Available until:

      03/09/2023

    1.00 total credit hours including

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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

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      Status:

      Approved

      1.00 credit hours

      Available until:

      03/09/2022

    1.00 total credit hours including

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      Self apply

      1.00 credit hours

      Available until:

      03/09/2025

    1.00 total credit hours including

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      Approved

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      Available until:

      03/09/2022

    1.00 total credit hours including

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      Applied for

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      Available until:

      03/09/2023

    1.00 total credit hours including

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      Self apply

      1.00 credit hours

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    1.00 total credit hours including

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      Self apply

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      Available until:

      03/09/2023

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      Approved

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      Available until:

      03/09/2022

    1.00 total credit hours including

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    1.00 total credit hours including

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      1.20 credit hours

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      03/09/2023

    1.00 total credit hours including

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      Approved

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      03/09/2022

    1.00 total credit hours including

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      Applied for

      1.00 credit hours

      Available until:

      03/09/2023

    1.20 total credit hours including

    • General

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      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

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      Self apply

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      Available until:

      03/09/2022

    1.00 total credit hours including

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      Approved

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      03/09/2023

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      Available for credit

      1.00 credit hours

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      03/09/2023

    1.20 total credit hours including

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      Reciprocity

      1.20 credit hours

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      03/09/2023

    1.00 total credit hours including

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      03/09/2025

    1.00 total credit hours including

    • Areas of Professional Practice

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      1.00 credit hours

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      Applied for

      1.00 credit hours

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    1.00 total credit hours including

    • Substantive

      Status:

      Available for credit

      1.00 credit hours

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      03/09/2023

    1.00 total credit hours including

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      Applied for

      1.00 credit hours

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      03/09/2023

    1.00 total credit hours including

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      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

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      Available for credit

      1.00 credit hours

      Available until:

      03/09/2023

    1.00 total credit hours including

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      Self apply

      1.00 credit hours

      Available until:

      03/09/2023

    1.00 total credit hours including

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      Applied for

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      Available until:

      03/09/2023

    1.00 total credit hours including

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      Self apply

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      03/09/2023

    1.00 total credit hours including

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      Applied for

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      03/09/2023

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      1.00 credit hours

      Available until:

      02/28/2021

    1.00 total credit hours including

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      03/09/2023

    1.00 total credit hours including

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      03/09/2023

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      03/09/2023

    1.00 total credit hours including

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      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.

    Product Details

    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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