Firm Element Compliance: Regulation S-P - Supervisory

Compliance: Regulation S-P - Supervisory

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1

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FINRA members are required to maintain policies and procedures that address the protection of customer information and records. Among other things, these policies and procedures must be reasonably designed to protect against unauthorized access to or use of customer records or information that course result in substantial harm or inconvenience to any customer. This course covers the following:
- Protection of Non-Public Personal Information
- Limitation on Use and Re-Use of information
- Privacy Policy Disclosure
- Technical Issues with Servers and Data Retention
- Standards for Responding to Data Security Breaches
- Safeguards and Disposal Rules
- Scope of the Information Covered by the Rules
- The Disposal Rule Applied Individuals
- An Exception to Reg S-P Reps Moving
- Laptop protection
- The SEC Responds
- Question of Delivery of Privacy Notice
- Email Protection
- Reg S-P and the Relation to Reg S-AM
- Small Entity Compliance Guide
- Concern Related To Sharing Non-Public Information With Others


Course Objectives

Upon completion of the course, the student will be able to: Understand GLB Act as foundation Learn about Regulation S-P Learn how the SEC responds Understand the Reg S-P and the relation to Reg S-AM

Topics Covered

This course covers the following topics: Lesson 1: Purpose Lesson 2: Funding Lesson 3: Eligibility and Employee Coverage Lesson 4: Limits on Contributions and Benefits Lesson 5: Taxation Lesson 6: Distribution Rules



Subject Matter Expert

This course is created and brought to you by, Inc, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today's marketplace, renew licenses, acquire certification or prepare for a new profession.

End of Course Instructions

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Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.


You will be required to pass the final exam with a 70% in order to receive course credit.

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