BD- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information
BD- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information
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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
Published by: Connexien
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