BD- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information

The Broker-Dealer Non-Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of a broker-dealer's overall compliance and privacy program in accordance with FINRA Rule 3110 and Regulation S-P.  When working with third-party service providers, broker-dealer firms must safeguard its customer information and ensure confidentiality.  This NDA helps firms establish standard guidelines for ensuring that nonpublic personal information ("NPI") within the meaning of applicable privacy laws and regulations relating to customers of the firm or its affiliates is properly protected.

Version/Update: V.8/September 17, 2017

Total Page Count: 2

Source/Author(s): Connexien