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Expert Analysis

Notable Parts Of SEC's Proposal To Update Safeguards Rule

By David Blass, David Nicolardi and Jeffrey Caretsky ( April 12, 2023, 5:34 PM EDT) -- In a unanimous 5-0 vote on March 15, the U.S. Securities and Exchange Commission proposed amendments to Regulation S-P, which the SEC initially adopted in 2000. These proposed amendments to Regulation S-P's safeguards rule would apply to broker-dealers, investment companies, including business development companies, registered investment advisers and transfer agents.[1] ...

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