SEC Regulation S-P
SEC privacy and safeguard rule for broker-dealers, investment companies and investment advisers.
Sectors
Articles (19)
Purpose and scope.Model privacy form: rule of construction.Definitions.Initial privacy notice to consumers required.Annual privacy notice to customers required.Information to be included in privacy notices.Form of opt out notice to consumers; opt out methods.Revised privacy notices.Delivering privacy and opt out notices.Limits on disclosure of nonpublic personal information to nonaffiliated third parties.Limits on redisclosure and reuse of information.Limits on sharing account number information for marketing purposes.Exception to opt out requirements for service providers and joint marketing.Exceptions to notice and opt out requirements for processing and servicing transactions.Other exceptions to notice and opt out requirements.Protection of Fair Credit Reporting Act.Relation to State laws.Effective date; transition rule.Procedures to safeguard customer information, including response programs for unauthorized access to customer information and customer notice; disposal of customer information and consumer information.