<?xml version="1.0" encoding="UTF-8" standalone="yes"?>
<REGINFO_RIN_DATA xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" RUN_DATE="2026-04-16-04:00" xsi:noNamespaceSchemaLocation="https://www.reginfo.gov/public/xml/REGINFO_XML_Ver10262011.xsd">
    <RIN_INFO>
        <RIN>3235-AK08</RIN>
        <PUBLICATION>
            <PUBLICATION_ID>201010</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 248.15</CFR>
            <CFR>17 CFR 248.30</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>03/13/2008</TTBL_DATE>
                <FR_CITATION>73 FR 13692</FR_CITATION>
            </TIMETABLE>
            <TIMETABLE>
                <TTBL_ACTION>NPRM Comment Period End</TTBL_ACTION>
                <TTBL_DATE>05/12/2008</TTBL_DATE>
            </TIMETABLE>
            <TIMETABLE>
                <TTBL_ACTION>Final Action</TTBL_ACTION>
                <TTBL_DATE>08/00/2011</TTBL_DATE>
            </TIMETABLE>
        </TIMETABLE_LIST>
        <RFA_REQUIRED>Undetermined</RFA_REQUIRED>
        <GOVT_LEVEL_LIST>
            <GOVT_LEVEL>None</GOVT_LEVEL>
        </GOVT_LEVEL_LIST>
        <FEDERALISM>No</FEDERALISM>
        <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>
