Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

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Index

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Subpart A--Privacy and Opt Out Notices

Rule 1 -- Purpose and Scope

Rule 2 -- Rule of Construction

Rule 3 -- Definitions

Rule 4 -- Initial Privacy Notice to Consumers Required

Rule 5 -- Annual Privacy Notice to Customers Required

Rule 6 -- Information to Be Included in Privacy Notices

Rule 7 -- Form of Opt Out Notice to Consumers; Opt Out Methods

Rule 8 -- Revised Privacy Notices

Rule 9 -- Delivering Privacy and Opt Out Notices

Rule 10 -- Limits on Disclosure of Nonpublic Personal Information to Nonaffiliated Third Parties

Rule 11 -- Limits on Redisclosure and Reuse of Information

Rule 12 -- Limits on Sharing Account Number Information for Marketing Purposes

Rule 13 -- Exception to Opt Out Requirements for Service Providers and Joint Marketing

Rule 14 -- Exceptions to Notice and Opt Out Requirements for Processing and Servicing Transactions

Rule 15 -- Other Exceptions to Notice and Opt Out Requirements

Rule 16 -- Protection of Fair Credit Reporting Act

Rule 17 -- Relation to State Laws

Rule 18 -- Effective Date; Transition Rule

Rule 19 -- through Rule 29 [Reserved]

Rule 30 -- Procedures to Safeguard Customer Records and Information

Rule 31 -- through Rule 100 [Reserved]




Appendix A -- Forms [Reserved]

Appendix B -- Sample Clauses





Subpart B--Regulation S-AM: Limitations on Affiliate Marketing




Rule 101 --Purpose and Scope

Rule 102 -- Examples

Rule 103 - through Rule 119 [Reserved]

Rule 120 -- Definitions

Rule 121 -- Affiliate Marketing Opt Out and Exceptions

Rule 122 -- Scope and Duration of Opt Out

Rule 123 -- Contents of Opt Out Notice; Consolidated and Equivalent Notices

Rule 124 -- Reasonable Opportunity to Opt Out

Rule 125 -- Reasonable and Simple Methods of Opting Out

Rule 126 -- Delivery of Opt Out Notices

Rule 127 -- Renewal of Opt Out Elections

Rule 128 -- Effective Date, Compliance Date, and Prospective Application

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