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

Explanation:

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.