Compliance Outreach - Regulation S-P

Through its Compliance Outreach Program, the SEC hosted a series of events to help investment advisers, broker-dealers, and transfer agents prepare for compliance with amendments to Regulation S-P that the Commission adopted in 2024 to enhance protection of customer information. 

SEC staff covered the new Regulation S-P compliance obligations, discussed what to expect when interacting with an exam team during an examination, and answered compliance questions from event participants.

• Power Point Presentation

This first event was held on Sept. 25, 2025, and focused on large firms. 

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The second event was held on Dec. 17, 2025, and focused on transfer agents.

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The third event was held on Jan. 22, 2026, and focused on small firms.

• View Webcast