In this month's Journal in the Round, our panelists John Renner and Robert Mauterstock will be discussing the implications of the new FINRA regulation, effective February 2018, regarding required protections for the most vulnerable senior clients.  The discussion and audience Q and A will be moderated by an FPA  host Bill Harris.

Level of Complexity: Intermediate

Course Objectives
  • Explain the reporting and compliance issues that will impact financial planners
  • Discuss the importance of laws to the planner-client relationship
  • Describe new and amended FINRA Rules 2165 and 4512 to protect the elderly
Course Information
Date Presented:
January 31, 2018 2:00 PM Eastern
1 hour
FPA Member Price:
Non-Member Price:
Journal in the Round:Preventing Seniors From Financial Exploitation
Speaker Information
Robert Mauterstock CFP  [ view bio ]
John Renner L.M., J.D., CFP, ChFC  [ view bio ]
Individual topic purchase: Selected
Financial Planning Association
CFP CE: 1.00
This course is no longer available for purchase.