SEC RULES REQUIRE THAT REGISTERED REPS MAINTAIN STRICT CONFIDENTIALITY OF FINANCIAL INFORMATION OF CUSTOMERS
The SEC has rules regarding the requirement that registered reps maintain confidentiality about the financial positions of their customers. This is called Regulation S-P. FINRA's Content Outline for the Securities Industry Essentials Exam (SIE) includes privacy regulations in Section 3.2.4. This means that an SIE candidate should expect to see questions on privacy requirements on the SIE exam. Bob Eder has detailed information about Regulation S-P in his Study for the Securities Industry Essentials (SIE) Exam . Here is a sample of Bob Eder's discussion on maintaining privacy of financial information of customers : "Regulation S-P ...