Regulation S-P
- Citation
- 17 CFR 248.30
- Published as
- Regulation S-P safeguards and breach notice
- Issued by
- Securities and Exchange Commission
- Binds
- brokers, dealers, investment companies, registered investment advisers, funding portals and transfer agents
- Kinds of organization
- businesses
- Source text
- www.law.cornell.edu
Sections
Defined terms
- Covered institution17 CFR 248.30(d)
- Transfer agent17 CFR 248.30(d)
What it costs to fail
- SEC Civil Penalty Table17 CFR 201.1001
Check your site against Regulation S-P
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