United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2004_register executive 2010-09-23 article Part V Rules and Regulations D09002ee1c81261ac D09002ee1c81262e3 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission") is adopting amendments to the rule under Regulation S-P requiring financial institutions to adopt policies and procedures to safeguard customer information. The amended rule implements the provision in section 216 of the Fair and Accurate Credit Transactions Act of 2003 requiring proper disposal of consumer report information and records. Section 216 directs the Commission and other federal agencies to adopt regulations requiring that any person who maintains or possesses consumer report information or any compilation of consumer report information derived from a consumer report for a business purpose must properly dispose of the information. The amendments also require the policies and procedures adopted under the safeguard rule to be in writing. 69 FR 71322 https://www.govinfo.gov/app/details/FR-2004-12-08/04-26878 04-26878 fr08de04-19 RIN 3235-AJ24 8010-01-P Release Nos. 34-50781, IA-2332, IC-26685 File No. S7-33-04 https://www.govinfo.gov/app/details/FR-2004-12-08/04-26878 https://www.govinfo.gov/content/pkg/FR-2004-12-08/html/04-26878.htm https://www.govinfo.gov/content/pkg/FR-2004-12-08/pdf/04-26878.pdf Brokers Dealers Investment Advisers Investment Companies Privacy Reporting and Recordkeeping Requirements Transfer Agents 8 p. 71322 71329 69 FR 71322 Title 17 Part 248 17 CFR Part 248 RIN 3235-AJ24 Disposal of Consumer Report Information; Federal Register Vol. 69, Issue RULE 04-26878 V SECURITIES AND EXCHANGE COMMISSION 2005-01-11 Release Nos. 34-50781, IA-2332, IC-26685 File No. S7-33-04 8010-01-P 04-26878 Final rule.

The Securities and Exchange Commission ("Commission") is adopting amendments to the rule under Regulation S-P requiring financial institutions to adopt policies and procedures to safeguard customer information. The amended rule implements the provision in section 216 of the Fair and Accurate Credit Transactions Act of 2003 requiring proper disposal of consumer report information and records. Section 216 directs the Commission and other federal agencies to adopt regulations requiring that any person who maintains or possesses consumer report information or any compilation of consumer report information derived from a consumer report for a business purpose must properly dispose of the information. The amendments also require the policies and procedures adopted under the safeguard rule to be in writing.

Effective Date: January 11, 2005. For information regarding the rule amendments as they relate to investment companies or to investment advisers registered with the Commission, contact Penelope W. Saltzman, Branch Chief, or Vincent M. Meehan, Attorney, Office of Regulatory Policy, at the Division of Investment Management, (202) 942-0690, as they relate to brokers or dealers, Catherine McGuire, Chief Counsel, Brian Bussey, Assistant Chief Counsel, or Tara Prigge, Attorney, Office of Chief Counsel, at the Division of Market Regulation, (202) 942-0073, or as they relate to transfer agents registered with the Commission contact Jerry Carpenter, Assistant Director, or David Karasik, Special Counsel, Office of Clearance and Settlement, at the Division of Market Regulation, (202) 942-4187, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549. Brokers Dealers Investment Advisers Investment Companies Privacy Reporting and Recordkeeping Requirements Transfer Agents Fair and Accurate Credit Transactions Act: Consumer report information disposal, Vol. 69, no. 235 Office of the Federal Register, National Archives and Records Administration 2004-12-08 continuing daily deposited born digital 478 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2004-12-08 P0b002ee1809705ef 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr08de04 https://www.govinfo.gov/app/details/FR-2004-12-08 https://www.govinfo.gov/content/pkg/FR-2004-12-08/pdf/FR-2004-12-08.pdf https://www.govinfo.gov/content/pkg/FR-2004-12-08/xml/FR-2004-12-08.xml fdlp 70871 71338 DGPO 2010-09-23 2024-06-06 FR-2004-12-08 machine generated eng FR FR-2004-12-08 69 235