Posts Tagged ‘Regulation S-P’

SEC Regulation S-P Proposals To Improve The Security Of Customer Information Within Brokerage Shops

Friday, May 16th, 2008

Do you work for a brokage house, have a subsidiary that is a brokerage house, or do any type of work with a brokerage house? If so, then you should be aware of the Securities and Exchange Commission (SEC) proposed changes to Regulation S-P in March of this year.
In general, the proposed amendments to Regulation S-P…