Series 99: 3.3.4.1.1 Privacy Notice—Regulation S-P

3.3.4.1.1  Privacy Notice—Regulation S-P

The SEC’s Privacy of Consumer Financial Information rules—more commonly known as Regulation S-P—limit the ability of broker-dealers, investment companies, and investment advisers to disclose nonpublic personal information about their customers with “non-affiliated third parties.” A non-affiliated third party is a person jointly employed by the broker-dealer and any company that is not its affiliate, including the other company.

Under Regulation S-P regi