TY  - JOUR
AB  - Purpose– The purpose of this paper is to explain the SEC's proposed amendments to Regulation S‐P to enhance the protection of consumer financial information.Design/methodology/approach– The paper explains: the safeguards and disposal rules; the Commission's proposal to broaden the scope of the information covered by the safeguards and disposal rules; the proposed extension of disposal rule to individuals; the proposed more detailed standards for safeguarding information; the proposed more detailed standards for responding to data security breaches; and a proposed exception to Regulation S‐P for representatives who move to a new firm.Findings– The paper reveals that the SEC has seen an increasing number of security breaches and, therefore, believes an enhancement to these rules is warranted.Originality/value– The paper provides a clear explanation of proposed rule changes by experienced securities lawyers.
VL  - 9
IS  - 2
SN  - 1528-5812
DO  - 10.1108/15285810810886207
UR  - https://doi.org/10.1108/15285810810886207
AU  - Callcott Hardy
AU  - Marshall‐Smith Gail
PY  - 2008
Y1  - 2008/01/01
TI  - SEC proposes enhancements to Regulation S‐P
T2  - Journal of Investment Compliance
PB  - Emerald Group Publishing Limited
SP  - 55
EP  - 59
Y2  - 2024/04/24
ER  -