The SEC's Privacy Rule

Abstract

This article gives an in‐depth examination of the Securities and Exchange Commission's new Regulation S‐P. This rule implements the privacy requirements of last year's financial modernization legislation, better known as the Gramm‐Leach‐Bliley Financial Services Modernization Act. That legislation contains a Title designed to protect the financial privacy of consumers. Regulation S‐P is the SEC's Implementation of that provision. The authors walk the reader through this regulation and its application in some detail. You cannot practice in this industry without a familiarity of Regulation S‐P. This article will take you very far along that path.

Citation

BECKER, B., LEE, Y. and HARRIS, F. (2000), "The SEC's Privacy Rule", Journal of Investment Compliance, Vol. 1 No. 2, pp. 7-16. https://doi.org/10.1108/eb045873