FINRA: Customer Information Protection for Supervisors

Overview

This course covers concepts to help supervisors implement firm 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.

Find this course for your license

License or Certification

Regulator

Objectives

better implement and supervise your firm’s procedures for protecting confidential personal customer information.
detecting possible breaches in information security.
know what you should do in the event that either you — or a registered representative that you supervise — suspect customer information has been compromised.
know steps you can take to better protect this information.

Designed For:

Intermediate

Course Information

Adding additional credit may change exam requirements.

At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.

Quick Links

Catalog

Business Solutions

Blog

Special Offers

All Products

Information

Privacy

Business Continuity

Accessibility

Sitemap

Terms