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<REGINFO_RIN_DATA xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" RUN_DATE="2026-04-05-04:00" xsi:noNamespaceSchemaLocation="https://www.reginfo.gov/public/xml/REGINFO_XML_Ver10262011.xsd">
    <RIN_INFO>
        <RIN>3235-AK08</RIN>
        <PUBLICATION>
            <PUBLICATION_ID>200810</PUBLICATION_ID>
            <PUBLICATION_TITLE>The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions</PUBLICATION_TITLE>
        </PUBLICATION>
        <AGENCY>
            <CODE>3235</CODE>
            <NAME>Securities and Exchange Commission</NAME>
            <ACRONYM>SEC</ACRONYM>
        </AGENCY>
        <RULE_TITLE>Proposed Amendments to Regulation S-P</RULE_TITLE>
        <ABSTRACT><![CDATA[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.]]></ABSTRACT>
        <PRIORITY_CATEGORY>Substantive, Nonsignificant</PRIORITY_CATEGORY>
        <RIN_STATUS>Previously Published in The Unified Agenda</RIN_STATUS>
        <RULE_STAGE>Final Rule Stage</RULE_STAGE>
        <MAJOR>Undetermined</MAJOR>
        <UNFUNDED_MANDATE_LIST>
            <UNFUNDED_MANDATE>No</UNFUNDED_MANDATE>
        </UNFUNDED_MANDATE_LIST>
        <CFR_LIST>
            <CFR>17 CFR 240</CFR>
        </CFR_LIST>
        <LEGAL_AUTHORITY_LIST>
            <LEGAL_AUTHORITY>15 USC 78q</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 78q-1</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 78w</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 78mm</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 80a-30(a)</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 80a-37</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 80b-4</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 1681w(a)(1)</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 6601 to 6809</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 6825</LEGAL_AUTHORITY>
        </LEGAL_AUTHORITY_LIST>
        <LEGAL_DLINE_LIST/>
        <RPLAN_ENTRY>No</RPLAN_ENTRY>
        <TIMETABLE_LIST>
            <TIMETABLE>
                <TTBL_ACTION>NPRM</TTBL_ACTION>
                <TTBL_DATE>03/12/2008</TTBL_DATE>
                <FR_CITATION>73 FR 13692</FR_CITATION>
            </TIMETABLE>
            <TIMETABLE>
                <TTBL_ACTION>NPRM Comment Period End</TTBL_ACTION>
                <TTBL_DATE>05/13/2008</TTBL_DATE>
            </TIMETABLE>
            <TIMETABLE>
                <TTBL_ACTION>Final Action</TTBL_ACTION>
                <TTBL_DATE>12/00/2008</TTBL_DATE>
            </TIMETABLE>
        </TIMETABLE_LIST>
        <RFA_REQUIRED>Undetermined</RFA_REQUIRED>
        <GOVT_LEVEL_LIST>
            <GOVT_LEVEL>None</GOVT_LEVEL>
        </GOVT_LEVEL_LIST>
        <FURTHER_INFO_URL>www.sec.gov/rules/proposed/2008/34-57427.pdf</FURTHER_INFO_URL>
        <PRINT_PAPER>No</PRINT_PAPER>
        <INTERNATIONAL_INTEREST>No</INTERNATIONAL_INTEREST>
        <AGENCY_CONTACT_LIST>
            <CONTACT>
                <FIRST_NAME>Brice</FIRST_NAME>
                <LAST_NAME>Prince</LAST_NAME>
                <MIDDLE_NAME>D.</MIDDLE_NAME>
                <TITLE>Division of Trading and Markets</TITLE>
                <AGENCY>
                    <CODE>3235</CODE>
                    <NAME>Securities and Exchange Commission</NAME>
                    <ACRONYM>SEC</ACRONYM>
                </AGENCY>
                <PHONE>202 551-5595</PHONE>
                <FAX>202 772-9270</FAX>
                <EMAIL>princeb@sec.gov</EMAIL>
                <MAILING_ADDRESS>
                    <STREET_ADDRESS>10401/ 0506, 100 F Street NE,</STREET_ADDRESS>
                    <CITY>Washington</CITY>
                    <STATE>DC</STATE>
                    <ZIP>20549</ZIP>
                </MAILING_ADDRESS>
            </CONTACT>
        </AGENCY_CONTACT_LIST>
    </RIN_INFO>
</REGINFO_RIN_DATA>
