Form SEC 0000 SEC 0000 Form SP-30

14.

Add Form SP-30 (referenced in paragraph (3) of Appendix A to part 248) to read

as follows:
Note: The text of Form SP-30 does not, and this amendment will not, appear in the Code
of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington DC 20549

FORM SP-30

SECURITY INCIDENT REPORTING FORM

(Pursuant to § 248.30(a)(4)(v) of Regulation S-P (17 CFR 248.30(a)(4)(v)))

1.

Provide identifying information (IARD/CRD number, CIK,* business name, principal
business and mailing addresses, and telephone number).

* CIK stands for “Central Index Key,” which is the unique number the Commission assigns to
each entity that submits filings to it.
2.

Provide contact employee (name, title, address, and telephone number).

3.

Type of Institution:
___ Broker-Dealer
___ Investment Adviser
___ Investment Adviser/Broker-Dealer (Dual Registrant)
___ Investment Company
___ Transfer Agent

4.

Describe the security incident (e.g., unauthorized use of your customers’ online trading
accounts, unauthorized use of your employee’s password to access sensitive personal
information maintained on one of your databases, or unauthorized access to your files on
an investment company’s shareholders):
(a) Provide the date(s) of the incident;
(b) List Registrant's offices, divisions or branches involved;
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(c) Describe personal information system(s) compromised;
(d) Describe the incident and identify anyone you reasonably believe accessed or used
personal information without authorization or compromised the personal information
system(s).
5.

Provide information on third-party service provider(s) involved:
(a) Identify any third-party service provider involved;
(b) Describe the services provided;
(c) If the service provider is an affiliate, describe the affiliation;
(d) Describe the involvement of the service provider(s) in the incident.

6.

Describe steps taken or that you plan to take to assess the incident.

7.

Provide the number of individuals whose information appears to have been
compromised: __________

8.

Describe steps you have taken or plan to take to prevent improper use of any personal
information that was or may be compromised by the incident.

9.

Do you intend to notify affected individuals?
(a) If yes, when?
(b) If no, why not?

10.

Describe any steps you have taken or any plan to review your policies and procedures in
light of this incident.

11.

Describe Customer account losses (to the extent known)
(a) Number of Customer Accounts Accessed: __________
(b) Unauthorized Money Transfers
(i)

Initial Customer Losses from Actual or Attempted Unauthorized Transfers:
$

(ii)

Mitigation of Customer Losses from Firm’s Efforts
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(A) Surveillance / Investigative Intervention:

$

(B) Recoveries from Receiving Parties:

$

(C) Firm Compensation to Customers:

$

(iii) Net Customer Losses:

$

(c) Unauthorized Changes to Securities Portfolio (e.g., Pump and Dump Schemes)

(i)

Initial Customer Losses from Actual or Attempted Unauthorized Trading
(A) Value of Accounts Before the Unauthorized Trading:

$

(B) Value of Accounts After the Unauthorized Trading:

$

(C) Initial Customer Losses / Gains:
$

(ii)

Did the firm return the affected customer accounts to their positions before the
unauthorized trading?

Yes / No

(iii) Net Customer Losses / Gains:
$
By the Commission.

Nancy M. Morris
Secretary
Dated: March 4, 2008
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