SIE Exam Question 808: Answer and Explanation

Question: 808

Which of the following SEC regulations require member firms that offer or maintain covered accounts to develop and implement written identity theft prevention programs?

• A. Regulation BB
• B. Regulation CF
• C. Regulation FD
• D. Regulation S-ID

Correct Answer: D

Explanation:

Regulation S-ID requires member firms that offer or maintain covered accounts to develop and implement written identity theft prevention programs.