Dec 17, 2025
1:00PM – 2:00PM ET
The Securities and Exchange Commission will hold the second of three virtual compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The Regulation S-P compliance outreach events will be tailored for each registrant type and scheduled according to their corresponding compliance deadline published in the Regulation S-P rule amendments. This second event will focus on transfer agents. Staff from the Division of Examinations and the Division of Trading and Markets will cover the new Regulation S-P compliance obligations, discuss what to expect when interacting with an exam team during an examination, and answer any remaining compliance questions.
While not required, advance registration is preferred. Questions may also be submitted ahead of the event. A livestream will be available on the day of the event.
- Final Rule: Federal Register Version
- Fact Sheet
- Press Release
- Small Entity Compliance Guide
- Compliance Outreach on Regulation S-P for Large Firms
- Webcast: Webcast Compliance on Regulation S-P for Large Firms
AGENDA
Panel A: Historical discussion of Regulation S-P and the rule’s new provisions
This panel will discuss the history of the regulation, including an overview of core aspects of the regulatory framework and discussion of past risk alerts on the subject. The panel will also discuss the rule amendments, which entities are subject to the Regulation S-P Amendments, incident response program expectations, and SEC perspectives on the monitoring process. There will also be a discussion on the expected format and production requirements for notices to customers by the entities.
Panel B: Exams’ approach moving forward, including a discussion of potential Risk Alerts and other SEC publications
This panel will provide SEC perspectives on the examination lifecycle for entities subject to Regulation S-P, including the expected maintenance and production of certain policies, procedures, books, and records.
