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SEC Regulation S-P (Consumer Privacy) requires certain information to be included in privacy notices delivered...

SEC Regulation S-P (Consumer Privacy) requires certain information to be included in privacy notices delivered to customers of broker-dealers (BDs). Which of the following information is required to be included in the privacy notice?

A.

The website and telephone number of SIPC

B.

The website and telephone number of the Consumer Financial Protection Bureau (CFPB)

C.

The name and telephone number of the BD's chief compliance officer

D.

The BD's policies and practices for protecting the customer's nonpublic personal information

FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: Feb 18, 2026
  • Questions: 266
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