Books, Records, Privacy and Communications

Pair listening with reading

Follow along with
the written unit.

Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:

• Books and Records Retention Requirements
• Confirmations and Account Statements
• Holding of Customer Mail
• Business Continuity Plans (BCP)
• Customer Protection and Custody of Assets
• Privacy Requirements (Regulation S-P)
• Communications with the Public
• Telemarketing and Do-Not-Call Rules
• Best Interest Obligations and Suitability

Put this episode into practice with adaptive questions and flashcards in the full SIE course.