a
rule established by the Federal Trade Commission that requires broker-dealers,
investment advisers, and investment companies to establish and maintain
identity theft programs. Under the terms of the rule, these programs should be
set up to detect the warning signs of identity theft present in a firm’s
day-to-day operations.
Series 63: FTC Red Flags Rule
Taken from our Series 63 - Uniform Securities Agent State Law Exam
Definition of the term FTC Red Flags Rule...
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