17 CFR 248.101 - Purpose and scope. | Title 17 - Commodity and Securities Exchanges | Code of Federal Regulations

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§ 248.101 Purpose and scope.

(a) Purpose. The purpose of this subpart is to implement section 624 of the Fair Credit Reporting Act, 15 U.S.C. 1681, et seq. (“FCRA”). Section 624, which was added to the FCRA by section 214 of the Fair and Accurate Credit Transactions Act of 2003, Public Law 108-159, 117 Stat. 1952 (2003) (“FACT Act” or “Act”), regulates the use of consumer information received from an affiliate to make marketing solicitations.

(b) Scope. This subpart applies to any broker or dealer other than a notice-registered broker or dealer, to any investment company, and to any investment adviser or transfer agent registered with the Commission. These entities are referred to in this subpart as “you.”

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

2013-04-19; vol. 78 # 76 - Friday, April 19, 2013

78 FR 23638 - Identity Theft Red Flags Rules

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2013-08830
RIN	3038-AD14
File No.	S7-02-12
Release Nos.	34-69359, IA-3582, IC-30456

SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION

Joint final rules and guidelines.

Effective date: May 20, 2013; Compliance date: November 20, 2013.

17 CFR Part 162

Summary

The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (together, the “Commissions”) are jointly issuing final rules and guidelines to require certain regulated entities to establish programs to address risks of identity theft. These rules and guidelines implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which amended the Fair Credit Reporting Act and directed the Commissions to adopt rules requiring entities that are subject to the Commissions' respective enforcement authorities to address identity theft. First, the rules require financial institutions and creditors to develop and implement a written identity theft prevention program designed to detect, prevent, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts. The rules include guidelines to assist entities in the formulation and maintenance of programs that would satisfy the requirements of the rules. Second, the rules establish special requirements for any credit and debit card issuers that are subject to the Commissions' respective enforcement authorities, to assess the validity of notifications of changes of address under certain circumstances.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code

USC : Title 15 - COMMERCE AND TRADE

§ 78q - Records and reports

15 USC § 78q–1 - National system for clearance and settlement of securities transactions

§ 78mm - General exemptive authority

15 USC § 80a–30 - Accounts and records

15 USC § 80b–4 - Reports by investment advisers

15 USC § 80b–11 - Rules, regulations, and orders of Commission

15 USC § 1681s–3 - Affiliate sharing

§ 1681w - Disposal of records

§ 6801 - Protection of nonpublic personal information

§ 6802 - Obligations with respect to disclosures of personal information

§ 6803 - Disclosure of institution privacy policy

§ 6804 - Rulemaking

§ 6805 - Enforcement

§ 6806 - Relation to other provisions

§ 6807 - Relation to State laws

§ 6808 - Study of information sharing among financial affiliates

§ 6809 - Definitions

§ 6825 - Agency guidance

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 248 after this date.

2013-04-19; vol. 78 # 76 - Friday, April 19, 2013

78 FR 23638 - Identity Theft Red Flags Rules

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2013-08830
RIN	3038-AD14
File No.	S7-02-12
Release Nos.	34-69359, IA-3582, IC-30456

SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION

Joint final rules and guidelines.

Effective date: May 20, 2013; Compliance date: November 20, 2013.

17 CFR Part 162

Summary

The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (together, the “Commissions”) are jointly issuing final rules and guidelines to require certain regulated entities to establish programs to address risks of identity theft. These rules and guidelines implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which amended the Fair Credit Reporting Act and directed the Commissions to adopt rules requiring entities that are subject to the Commissions' respective enforcement authorities to address identity theft. First, the rules require financial institutions and creditors to develop and implement a written identity theft prevention program designed to detect, prevent, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts. The rules include guidelines to assist entities in the formulation and maintenance of programs that would satisfy the requirements of the rules. Second, the rules establish special requirements for any credit and debit card issuers that are subject to the Commissions' respective enforcement authorities, to assess the validity of notifications of changes of address under certain circumstances.

17 CFR 248.101 - Purpose and scope.

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