Privacy Policies for Financial Firms
Are Broker-Dealers and Investment Advisors at Risk From FINRA and the SEC?
David Kotz and Joe Sremack write about the Financial Industry Regulatory Authority, Securities and Exchange Commission Regulation S-P, and the protection of financial and personal customer information.
Reproduced with permission from Securities Regulation & Law Report, 47 SRLR 711, 4/6/15. Copyright 2015 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com