[Series 66] 53, Client Privacy Cybersecurity and Records
4 min
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - Distinction between consumers and customers under SEC Regulation S-P. - Initial and annual privacy notice delivery requirements and opt-out mechanisms. - NASAA Information Security Model Rule requirements for state-registered investment advisers. - Practical cybersecurity compliance responsibilities for IARs and investment advisory firms. - Record retention differences between investment advisers (5-year rule) and broker-dealers. Prepare for your Series 66 exam with independent study resources at https://open-exam-prep.com/practice/series66 and watch video tutorials at https://www.youtube.com/@Open-exam-prep . Sources checked: September 14, 2026 https://www.nasaa.org/wp-content/uploads/2023/02/Series-66-Outline-June-2023.pdf https://www.sec.gov/rules/final/34-42974.htm https://www.sec.gov/rules/final/ia-1945.htm https://www.ecfr.gov/current/title-17/section-275.204-2 https://www.ecfr.gov/current/title-17/part-248
