Guide to SEC Privacy Rules: Broker-Dealers, Investment Companies and Advisers

by James Hamilton, Ted Trautmann

This new title provides detailed explanation of the SEC's new privacy rules, adopted pursuant to the Gramm-Leach-Bliley Act, for brokers, dealers, investment companies, and investment advisers. A must-have reference, it incorporates SEC interpretations of the rules, as well as practical guidance for compliance. The new privacy rules apply to all brokers, dealers, investment companies, and registered investment advisers, regardless of their firm size.

100 pages, Paperback

First published March 30, 2005

About the author

James Hamilton is a curator, writer and lecturer, who entered the University of Manchester to read Mechanical Engineering, and emerged with a degree in History of Art.