Data / Federal rules / 2024-11116
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
The Securities and Exchange Commission published this final rule in the Federal Register on June 3, 2024. It took effect on August 2, 2024.
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What the agency says
The Securities and Exchange Commission ("Commission" or "SEC") is adopting rule amendments that will require brokers and dealers (or "broker-dealers"), investment companies, investment advisers registered with the Commission ("registered investment advisers"), funding portals, and transfer agents registered with the Commission or another appropriate regulatory agency ("ARA") as defined in the Securities Exchange Act of 1934 ("transfer agents") to adopt written policies and procedures for incident response programs to address unauthorized access to or use of customer information, including procedures for providing timely notification to individuals affected by an incident involving sensitive customer information with details about the incident and information designed to help affected individuals respond appropriately. In addition, the amendments extend the application of requirements to safeguard customer records and information to transfer agents; broaden the scope of information covered by the requirements for safeguarding customer records and information and for properly disposing of consumer report information; impose requirements to maintain written records documenting compliance with the amended rules; and conform annual privacy notice delivery provisions to the terms of an exception provided by a statutory amendment to the Gramm-Leach-Bliley Act ("GLBA").
Key facts
- Document number
- 2024-11116
- Type
- Final rule
- Action
- Final rule
- Agency
- Securities and Exchange Commission
- Published
- June 3, 2024
- Takes effect
- August 2, 2024
- Dates
- Effective date: This rule is effective August 2, 2024.
- Docket
- Release Nos. 34-100155; IA-6604; IC-35193; File No. S7-05-23
- Regulation ID (RIN)
- 3235-AN26
- Code of Federal Regulations
- 17 CFR 240; 17 CFR 248; 17 CFR 270; 17 CFR 275
- Topics
- Brokers; Consumer protection; Investment companies; Privacy; Reporting and recordkeeping requirements; Securities
- Pages
- 102
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Everything from the Securities and Exchange Commission · Rules on brokers · Rules on consumer protection · Rules on investment companies · Published in June 2024
Read from the Federal Register API, last updated 2026-10-23. The document on federalregister.gov is the official record; dates and dockets can change through later corrections. Free to reuse with credit to SpecStream under CC BY 4.0.