SERIES 66 TEST CANDIDATES SHOULD PAY ATTENTION TO SEC PRIVACY REGULATIONS AND REGULATION S-P
The SEC has rules regarding the requirement that registered investment advisory reps maintain confidentiality about the financial positions of their customers. This is called Regulation S-P. NASAA'S Test Specifications and Content Outline for the Series 66 Exam includes required knowledge on Privacy Regulations in Section IV (H) (5). This means that a Series 66 candidate should expect to see questions on privacy requirements on the Series 66 Exam. Bob Eder has detailed information about Regulation S-P in his Study for the Series 66 Exam . Here is a sample of Bob Eder's discussion on maintaining privacy of financial information of customers : "Changes in Privacy Policies IV (H) (5) If a financial services company changes or amends its privacy policy, it must send out revised privacy notices, or te...