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

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.


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