Protection of Vulnerable Investors

Protection of Vulnerable Investors; Requires securities dealers, investment advisers, & associated persons to report knowledge or suspicion of abuse, neglect, or exploitation of vulnerable adults to DCF; authorizes dealers & investment advisers to delay certain disbursements or transactions based on reasonable belief of financial exploitation of specified adult; requires dealer or investment adviser to notify certain persons & OFR of such delays within specified timeframe; authorizes dealer or investment adviser to extend delay; provides that length of such delays may be shortened or extended by court of competent jurisdiction; provides immunity from administrative & civil liability for dealers, investment advisers, & associated persons; requires dealers & investment advisers to develop certain training policies or programs & maintain written records of compliance.