FINRA: Customer Information Protection for Registered Representatives

Course Description

This course covers concepts to help registered representatives understand procedures for protecting confidential personal customer information and detecting possible breaches in information security. It provides suggestions for what to do if customer information is compromised and steps to take to better protect this information.

Learning Objective(s)

By taking this course, you will be able to:

  • Understand how you can help protect confidential personal customer information.
  • Detect possible breaches of information security.
  • Know what you should do if you suspect customer information has been compromised.

Complexity

Intermediate

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