Open Meeting Agenda - March 15, 2023

ITEM 1: Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

OFFICE: Division of Investment Management and Division of Trading and Markets

STAFF: For the Division of Investment Management: Jessica Leonardo, Taylor Evenson, Aaron Ellias, Rachel Kuo, Marc Mehrespand, Thoreau Bartmann.

For the Division of Trading and Markets: Susan Poklemba, Brice Prince, James Wintering, Edward Schellhorn, Moshe Rothman, Devin Ryan, John Fahey, Emily Westerberg Russell.

The Commission will consider whether to propose amendments to rules under Regulation S-P to require brokers and dealers, investment companies, and investment advisers registered with the Commission to adopt written policies and procedures for incident response programs to address unauthorized access to or use of customer information, including procedures for providing timely notification to certain affected individuals. The proposed amendments would also broaden the scope of information covered under these rules and extend application of these rules to cover transfer agents registered with the Commission or another appropriate regulatory authority. The Commission will also consider whether to propose corresponding amendments to recordkeeping rules under the Securities Exchange Act of 1934 (“Exchange Act”), Investment Company Act of 1940, and Investment Advisers Act of 1940. Finally, Commission will also consider whether to propose amendments to conform annual privacy notice delivery provisions to the terms of an exception provided by a statutory amendment to the Gramm-Leach-Bliley Act.

For further information, please contact Marc Mehrespand in the Division of Investment Management at (202) 551-6792 or Edward Schellhorn at (202) 551-5500 in the Division of Trading and Markets.

ITEM 2: Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents

OFFICE: Division of Trading and Markets

STAFF: Haoxiang Zhu, David Saltiel, Andrea Orr, Randall W. Roy, Nina Kostyukovsky, Matthew Lee, Stephanie Park, John Guidroz, Russell Mancuso, Michael E. Coe, Leah Mesfin, Moshe Rothman, Dave Sanchez, Adam Wendell, Adam Allogramento.

The Commission will consider whether to propose a new rule and form and certain related rule and exemptive order amendments under the Exchange Act to require certain registrants under the Exchange Act to address cybersecurity risks through policies and procedures, notification and reporting to the Commission, public disclosure, and record retention. The proposed cybersecurity requirements would apply to broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges, security-based swap data repositories, security-based swap dealers, and transfer agents.

For further information, please contact Randall W. Roy in the Division of Trading and Markets at (202) 551-5500.

ITEM 3: Regulation Systems Compliance and Integrity (Regulation SCI)

OFFICE: Division of Trading and Markets

STAFF: Haoxiang Zhu, David Saltiel, Andrew Orr, David Shillman, Heidi Pilpel, David Liu, Sara Hawkins, Stephanie Park, Gita Subramaniam, Josh Nimmo, An Phan.

The Commission will consider whether to propose amendments to Regulation SCI under the Exchange Act to expand the scope of entities subject to Regulation SCI and to update certain provisions of Regulation SCI.

For further information, please contact Heidi Pilpel in the Division of Trading and Markets at (202) 551-5500.