SIE Exam Question 391: Answer and Explanation

Question: 391

Regulation S-P principally deals with:

• A. cybersecurity requirements
• B. protection of privacy and identity information of clients
• C. abuse of senior and elderly clients
• D. disclosure of an introducing relationship to a clearing brokerage firm

Correct Answer: B

Explanation:

B: Think of the letters S-P as Security account Privacy.