FINRA CONTENT OUTLINE FOR SERIES 6 INCLUDES PRIVACY REGULATIONS THAT PROTECT PRIVACY OF CUSTOMERS' FINANCIAL INFORMATION

FINRA publishes a Content Outline for the Series 6 Exam that lists the subject matter for test questions. Included are Privacy Regulations regarding financial information received from customers and clients. See Section 2.2 of FINRA's Content Outline. Thus a representative must not disclose details about a customer's account or financial position or history. This information is confidential and may not be disclosed, absent a court order. Candidates for the Series 6 license must prepare themselves to answer questions about Privacy Regulations, including when a customer may opt out from allowing a brokerage firm to share confidential customer information with related affiliates.

Bob Eder covers Privacy Regulations in detail in his Study for the Series 6 Exam. Here is a sample of Bob Eder's treatment:

"Safeguarding Privacy of Customers                                                (2.2)

"Regulation S-P                                                                                    (2.2)

"The SEC has adopted Regulation S-P to assure that broker/dealers and investment advisory firms, as well as other firms that collect sensitive financial information of customers, comply with the law on safeguarding the privacy of personal non-public financial information. The notice must be easy to understand, conspicuous, not camouflaged in small type or hard-to-read font. It must be sent to all persons with whom a financial firm initiates or maintains a customer relationship."

Here is the link to FINRA's Content Outline for the Series 6 Exam. See the references to Privacy Regulations in FINRA's Content Outline, Section 2.2.

Study for the Series 6 Exam is available from Amazon in both paperback and Kindle e-book versions. Here is the link to Bob Eder's Series 6 Exam study manual on Amazon.

See Bob Eder's Author Page on Amazon.com.

For questions about Bob Eder's Study for the Series 6 Exam, or questions in general about the Series 6 exam, such as Privacy Regulations, feel free to email Bob Eder at bobeder@bobeder.net.

Bob Eder received his Juris Doctor (J.D.) degree from the University of Utah, Quinney College of Law, in 2001. 

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