Series 7 Exam Question 179: Answer and Explanation

Question: 179

The safeguarding of customer's non-public information is covered under

  • A. Regulation T
  • B. Regulation D
  • C. Regulation A
  • D. Regulation S-P

Correct Answer: D


D. Brokerage firms, investment companies, investment advisers, and so on, must have and adopt written policies for protecting customer's records and account information, which is covered under Regulation S-P.

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