2026 Compliance Outreach Program Regional Seminar for Investment Advisers and Investment Companies (Atlanta)

The SEC's Atlanta Regional Office is hosting a compliance outreach seminar for Atlanta-area investment advisers and investment companies. Staff from the Division of Examinations will discuss the new Regulation S-P compliance obligations as well as what to expect when interacting with an exam team during an examination. In addition, the event will feature a Q&A session where staff will answer compliance-related questions.

Registration is not required. Interested attendees and those who would like to submit questions in advance or during the presentation should email AROOutreach@sec.gov.