FINRA: Customer Information Protection for Registered Representatives


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 Objectives

Upon completion of this course, students 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.

Designed For

Registered Representatives 

Find this course for your license:

License or Certification