SEC and CFTC Rules on Red Flags and Identity Theft NEW!

Memorandum (4-10-13)

Federal Register Notice

 

Gramm-Leach-Bliley Act Model Privacy Notice

Memorandum (11-17-09)

Federal Register Notice

Gramm-Leach-Bliley Act Model Privacy Notice

Memorandum (10-20-09)

Federal Register Notice

SEC FACT Act Rules on Use of Customer
Information for Marketing Purposes

Memorandum (8-20-09)
Federal Register Notice

SEC Reopens GLB Act Model Privacy Form Quantitative Test Information

Memorandum (4-15-09)

Federal Register Notice

Study I

Study II

SEC Rules and Proposals Regarding Rating Agencies

Memorandum (2-9-09)

Federal Register Notice

Proposals

Federal Reserve and SEC Memorandum of Understanding

Memorandum (7-8-08)

MOU

SEC Proposal on Unauthorized Disclosures of Customer Information

Federal Register Notice

FED/SEC Adopts Regulation R, Exceptions from Definition of Broker for Banks

Memorandum (9-20-07)

Federal Register Notice

SEC/FRB Proposed Rule on Securities Activities

Memorandum (12-14-06)

Federal Register Notice

Agencies' Report on Financial Privacy Notices

Memorandum (4-3-06)

Financial Privacy Report

FACT Act: SEC Rule on Disposal of Consumer Information and Records

Memorandum (12-21-04)

Federal Register Notice

SEC's Notice of Proposed Rulemaking on Affiliate Marketing

Memorandum (7-9-04)

Federal Register Notice

Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities

Federal Register Notice