Compliance Outreach - Regulation S-P

Through its Compliance Outreach Program, the SEC is hosting 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.

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

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The second event will be held on Dec. 17, 2025, and will focus on transfer agents.

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