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
- 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
Subject Matter Expert
End of Course Instructions
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