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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
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:  
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