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SEC RIN: 3235-AL26 Publication ID: Spring 2013 
Title: Identity Theft Red Flags Rules 
Abstract: The SEC and the Commodity Futures Trading Commission jointly adopted rules and guidelines to implement certain provisions of the Dodd Frank Act. These provisions amend the Fair Credit Reporting Act and direct the Commissions to adopt programs to address identity theft. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 248.201    17 CFR 248.202   
Legal Authority: 15 USC 78q    15 USC 78q-1    15 USC 78o-4    15 USC 78o-5    15 USC 78w    15 USC 80a-30    15 USC 80a-37    15 USC 80b-4    15 USC 1681m(e)    15 USC 1681s(b)    ...   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  03/06/2012  77 FR 13450   
NPRM Comment Period End  05/07/2012    
Final Action  04/19/2013  78 FR 23638   
Final Action Effective  05/20/2013 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: sec.gov/rules/final//2013/34-69359.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Thoreau Adrian Bartmann
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6745
Email: bartmannt@sec.gov