Series 99: 3.3.4.1 Nonpublic Personal Information (NPI)

Taken from our Series 99 Top-off Online Guide

3.3.4.1  Nonpublic Personal Information (NPI)

Nonpublic personal information (NPI) is any personally identifiable information that is not publicly available. This information includes:

  • Any information provided to obtain a financial product or service (name, address, income, Social Security number, or other information on an application)
  • Any information acquired about an individual from a transaction involving a firm’s financial products or services (account numbers, payment h

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