Dashboard
Review Topics
Drills
Practice Exams
Flashcards
Vocabulary
Write all over your test booklet, except when you're not allowed to write in your test booklet. That's what instructions are for.

More FINRA Rules

More FINRA Rules

Regulation S-P

While sharing client information with the government is a good thing (at least, according to the government), sharing client information with telemarketing firms or identity thieves...is not. The SEC implemented Reg S-P, which is based on a requirement from the Gramm-Leach-Bliley Act (try saying that three times fast), to protect customers from identity theft and private information reaching the hands of outside firms without the client’s knowledge or consent. 

So, what does R...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

$24.68
Next: More FINRA Rules: Buying, Selling, Procedure, etc.  
  Prev: Anti-Money Laundering