Regulation S-P, enforced by the U.S. Securities and Exchange Commission (SEC), establishes rules designed to safeguard the privacy and security of customer information held by financial institutions. It requires these institutions, including broker-dealers, investment advisers, and other entities registered with the SEC, to adopt policies and procedures that protect the confidentiality and integrity of nonpublic personal information about their customers. Regulation S-P mandates the disclosure of privacy policies to customers and imposes restrictions on the sharing of personal information with third parties, outlining conditions under which such sharing is permissible. Compliance with Regulation S-P is crucial for maintaining trust and confidentiality in financial relationships, ensuring that customer data is handled responsibly and securely in accordance with legal requirements. – Review the Federal Register Filing .


File ID:  SEC-PR-2024-58 Date:  May 16, 2024 Accessed:  July 9, 2024 Headline:  Securities and Exchange Commission Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information Source: Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES REGULATION S-P SEC-PR-2024-58 – Viewer: ▼▼▼ (Download PDF File )