Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
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Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
The Securities and Exchange Commission (``Commission'' or ``SEC'') is proposing rule amendments that would require brokers and dealers (or ``broker-dealers''), investment companies, and investment advisers registered with the Commission (``registered investment advisers'') 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. The Commission also is proposing to broaden the scope of information covered by amending requirements for safeguarding customer records and information, and for properly disposing of consumer report information. In addition, the proposed amendments would extend the application of the safeguards provisions to transfer agents. The proposed amendments would also include requirements to maintain written records documenting compliance with the proposed amended rules. Finally, the proposed amendments would conform annual privacy notice delivery provisions to the terms of an exception provided by a statutory amendment to the Gramm-Leach-Bliley Act (``GLBA'').
Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a unit investment trust, seeks an order declaring that it has ceased to be an investment company. On December 31, 2015, and April 15, 2022, applicant made liquidating distributions to its shareholders, based on net asset value. Expenses of $75,000.00 incurred in connection with the liquidation were paid by the applicant. Applicant also has retained $75,000 for the purpose of paying outstanding liabilities. Filing Date: The application was filed on February 21, 2023. Applicant's Address: 901 Warrenville Road, Suite 15, Lisle, Illinois 60532.
Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents
The Securities and Exchange Commission (``Commission'') is proposing a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security- based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges, security-based swap data repositories, security-based swap dealers, and transfer agents to address cybersecurity risks through policies and procedures, immediate notification to the Commission of the occurrence of a significant cybersecurity incident and, as applicable, reporting detailed information to the Commission about a significant cybersecurity incident, and public disclosures that would improve transparency with respect to cybersecurity risks and significant cybersecurity incidents. In addition, the Commission is proposing amendments to existing clearing agency exemption orders to require the retention of records that would need to be made under the proposed cybersecurity requirements. Finally, the Commission is proposing amendments to address the potential availability to security-based swap dealers and major security-based swap participants of substituted compliance in connection with those requirements.
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