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SEC

RIN: 3235-AK08

Publication ID: Fall 2010

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	03/13/2008	73 FR 13692
NPRM Comment Period End	05/12/2008
Final Action	08/00/2011

Regulatory Flexibility Analysis Required: Undetermined	Government Levels Affected: None
Federalism: No
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