Rule 248.30; 17 C.F.R Sec. 248.30, Procedures to safegard customer records and information; disposal of consumer report information.

OMB 3235-0610

Rule 248.30(a) requires broker-dealers, investment companies, and investment advisers registered with the Commission to document in writing policies and procedures to safeguard customer records and information.

The latest form for Rule 248.30; 17 C.F.R Sec. 248.30, Procedures to safegard customer records and information; disposal of consumer report information. expires 2022-09-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Rule 248.30 (P - Privacy of Financial Info) Supporting Statement.pdf Supporting Statement A
Rule 248.30, 17 C.F.R. Sec. 248.30, Procedures to safeguard customer records and information; disposal of consumer report information.

All Historical Document Collections

202304-3235-016 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-04-24
202203-3235-002 Approved without change	Extension without change of a currently approved collection	2022-05-13
201904-3235-006 Approved without change	Extension without change of a currently approved collection	2019-08-06
201603-3235-002 Approved without change	Extension without change of a currently approved collection	2016-09-14
201304-3235-016 Approved with change	Extension without change of a currently approved collection	2013-07-16
201005-3235-013 Approved without change	Extension without change of a currently approved collection	2010-05-12
200803-3235-016 Comment filed on proposed rule and continue	Revision of a currently approved collection	2008-03-20
200703-3235-001 Approved without change	Extension without change of a currently approved collection	2007-08-13
200409-3235-006 Approved without change	New collection (Request for a new OMB Control Number)	2004-09-15