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SEC | RIN: 3235-AK08 | Publication ID: Fall 2008 |
Title: Proposed Amendments to Regulation S-P | |
Abstract: The Commission proposed amendments to Regulation S-P. The amendments would set forth more specific requirements for safeguarding information and responding to information security breaches, and broaden the scope of the information covered by Regulation S-P's safeguarding and disposal provisions. They would also extend the application of the disposal provisions to natural persons associated with broker, dealers, investment advisers, and transfer agents registered with the Commission, and would extend the application of the safeguarding provisions to registered transfer agents. Finally, the amendments would permit a limited transfer of information to a nonaffiliated third party without the required notice and opt out when personnel move from one broker-dealer or registered investment adviser to another. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240 | |
Legal Authority: 15 USC 78q 15 USC 78q-1 15 USC 78w 15 USC 78mm 15 USC 80a-30(a) 15 USC 80a-37 15 USC 80b-4 15 USC 1681w(a)(1) 15 USC 6601 to 6809 15 USC 6825 |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: None |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2008/34-57427.pdf | |
RIN Data Printed in the FR: No | |
Agency Contact: Brice D. Prince Division of Trading and Markets Securities and Exchange Commission 10401/ 0506, 100 F Street NE, Washington, DC 20549 Phone:202 551-5595 Fax:202 772-9270 Email: princeb@sec.gov |