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SEC

RIN: 3235-AK08

Publication ID: Spring 2009

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 248.15 17 CFR 248.30
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

Timetable:

Action	Date	FR Cite
NPRM	03/12/2008	73 FR 13692
NPRM Comment Period End	05/13/2008
Final Action	10/00/2009

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