Series 66: FTC Red Flags Rule

Taken from our Series 66 - NASAA Uniform Combined State Law Exam

Definition of the term FTC Red Flags Rule...

a rule established by the Federal Trade Commission that requires broker-dealers, investment advisers, and investment companies to establish and maintain identity theft programs. Under the terms of the rule, these programs should be set up to detect the warning signs of identity theft present in a firm’s day-to-day operations.

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