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 2008_register executive 2010-09-23 article Part III Proposed Rules D09002ee1c8094097 D09002ee1c8094152 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission") is proposing amendments to Regulation S-P, which implements certain provisions of the Gramm-Leach-Bliley Act ("GLBA") and the Fair Credit Reporting Act ("FCRA") for entities regulated by the Commission. The proposed 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 also would extend the application of the disposal provisions to natural persons associated with brokers, dealers, investment advisers registered with the Commission ("registered investment advisers") and transfer agents registered with the Commission ("registered transfer agents"), and would extend the application of the safeguarding provisions to registered transfer agents. Finally, the proposed 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. 73 FR 13692 https://www.govinfo.gov/app/details/FR-2008-03-13/E8-4612 E8-4612 fr13mr08-32 RIN 3235-AK08 8011-01-P Release Nos. 34-57427 IC-28178 IA-2712 File No. S7-06-08 https://www.govinfo.gov/app/details/FR-2008-03-13/E8-4612 https://www.govinfo.gov/content/pkg/FR-2008-03-13/html/E8-4612.htm https://www.govinfo.gov/content/pkg/FR-2008-03-13/pdf/E8-4612.pdf Brokers Dealers Investment Advisers Investment Companies Privacy Reporting and Recordkeeping Requirements Transfer Agents 28 p. 13692 13719 73 FR 13692 Title 17 Part 248 17 CFR Part 248 RIN 3235-AK08 Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information; Federal Register Vol. 73, Issue PRORULE E8-4612 III SECURITIES AND EXCHANGE COMMISSION 2008-05-12 Release Nos. 34-57427 IC-28178 IA-2712 File No. S7-06-08 8011-01-P E8-4612 Proposed rule.

The Securities and Exchange Commission ("Commission") is proposing amendments to Regulation S-P, which implements certain provisions of the Gramm-Leach-Bliley Act ("GLBA") and the Fair Credit Reporting Act ("FCRA") for entities regulated by the Commission. The proposed 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 also would extend the application of the disposal provisions to natural persons associated with brokers, dealers, investment advisers registered with the Commission ("registered investment advisers") and transfer agents registered with the Commission ("registered transfer agents"), and would extend the application of the safeguarding provisions to registered transfer agents. Finally, the proposed 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.

Comments must be received on or before May 12, 2008. Catherine McGuire, Chief Counsel, or Brice Prince, Special Counsel, Office of the Chief Counsel, Division of Trading and Markets, (202) 551-5550; or Penelope Saltzman, Acting Assistant Director, or Vincent Meehan, Senior Counsel, Office of Regulatory Policy, Division of Investment Management, (202) 551-6792, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Brokers Dealers Investment Advisers Investment Companies Privacy Reporting and Recordkeeping Requirements Transfer Agents Regulation S-P; Privacy of Consumer Financial Information and Safeguarding Personal Information, rule-comments@sec.gov http://csrc.nist.gov/publications/PubsITLSB.html http://csrc.nist.gov/publications/PubsSPs.html http://download.pgp.com/pdfs/Ponemon2-Breach-Survey_061020_F.pdf http://eval.symantec.com/mktginfo/enterprise/white_papers/ent-whitepaper_internet_security_threat_report_xii_09_2007.en-us.pdf http://infotech.aicpa.org/Resources/System+Security+and+Reliability/System+Reliability/Principles+of+a+Reliable+System/ http://www.bsi-global.com/en/Shop/Publication-Detail/?pid=000000000030166440 http://www.crowell.com/pdf/SecurityBreachTable.pdf http://www.deloitte.com/dtt/cda/doc/content/dtt_gfsi_GlobalSecuritySurvey_20070901%281%29.pdf http://www.deloitte.com/dtt/cda/doc/content/us_risk_s%26P_2007%20Privacy10Dec2007final.pdf http://www.fdic.gov/news/news/financial/2007/fil07032a.html http://www.ffiec.gov/ffiecinfobase/booklets/information_security/information_security.pdf http://www.finra.org/PressRoom/NewsReleases/2005NewsReleases/P014775 http://www.finra.org/web/groups/rules_regs/documents/notice_to_members/p036445.pdf http://www.ftc.gov/infosecurity/ http://www.ftc.gov/os/2003/09/synovatereport.pdf http://www.gao.gov/special.pubs/ai12.19.6.pdf http://www.idtheft.gov/reports/StrategicPlan.pdf http://www.isaca.org http://www.ncsl.org/programs/lis/cip/priv/breachlaws.htm http://www.nrs-inc.com/ICAA/EvRev06.pdf http://www.occ.treas.gov/consumer/Customernoticeguidance.pdf http://www.regulations.gov http://www.sec.gov/comments/s73304.shtml http://www.sec.gov/litigation/admin/2007/34-56316-o.pdf http://www.sec.gov/litigation/admin/2007/34-56316.pdf http://www.sec.gov/litigation/litreleases/2006/lr19949.htm http://www.sec.gov/litigation/litreleases/2007/lr20037.htm http://www.sec.gov/news/press/2007/2007-34.htm http://www.sec.gov/rules/proposed.shtml http://www.sia.com/testimony/2005/ireland11-9-05.html http://www.standardsdirect.org/iso17799.htm http://www.symantec.com/specprog/threatreport/ent-whitepaper_symantec_internet_security_threat_report_x_09_2006.en-us.pdf http://www.unc.edu/ncbank/Articles%20and%20Notes%20PDFs/Volume%206/DavidAnnecharico%5Bpp637-664%5D.pdf https://www.csialliance.org/publications/surveys_and_polls/CSIA_Internet_Security_Survey_June_2005.pdf www.ffiec.gov/pdf/authentication_guidance.pdf www.ici.org/pdf/bro_understanding_mfs_p.pdf Vol. 73, no. 50 Office of the Federal Register, National Archives and Records Administration 2008-03-13 continuing daily deposited born digital 306 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2008-03-13 P0b002ee1809bc113 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13mr08 https://www.govinfo.gov/app/details/FR-2008-03-13 https://www.govinfo.gov/content/pkg/FR-2008-03-13/pdf/FR-2008-03-13.pdf https://www.govinfo.gov/content/pkg/FR-2008-03-13/xml/FR-2008-03-13.xml fdlp 13429 13727 DGPO 2010-09-23 2024-06-05 FR-2008-03-13 machine generated eng FR FR-2008-03-13 73 50