Study for the Series 6 Exam

  The Series 6 Exam tests candidates on privacy rules that registered reps must observe for maintaining the confidentiality of financial information and financial status of customers. How do we know this? FINRA publishes a   Content Outline   for the Series 6 Exam, and Section 2.2 of the Content Outline lists the Privacy Requirements and Regulation S-P as important for the Series 6 Exam. Bob Eder in his Series 6 guide,  Study for the Series 6 Exam , discusses privacy requirements in detail. Here is a sample of Bob Eder's discussion: Regulation S-P 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 font. It must be sent to all persons with whom a financial firm initia...

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 Series 6 includes privacy regulations in Section 2.2. This means that a Series 6 candidate should expect to see questions on privacy requirements on the Series 6 exam. Bob Eder has detailed information about Regulation S-P in his Study for the Series 6 Exam . Here is a sample of Bob Eder's discussion on maintaining  privacy of financial information of  customers : "Regulation S-P                                                                        ...