SEC Meetings and Other Events
Compliance Outreach on Regulation S-P
Jan 22, 2026
11:00AM
– 12:30PM ET
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2026-01-22 11:00:00
2026-01-22 12:30:00
Compliance Outreach on Regulation S-P
The Securities and Exchange Commission held its third and final outreach event to help firms comply with amendments to Regulation S-P. This hybrid event was geared toward small firms in advance of their June 3, 2026, compliance date.
Staff from the Division of Examinations, Division of Investment Management, and Division of Trading and Markets discussed new Regulation S-P compliance obligations as well as what to expect when interacting with an exam team during an examination.
Agenda
Panel A: Historical Discussion of Regulation S-P and the Rule’s New Provisions
Discussion of the history of the regulation, including an overview of core aspects of the regulatory framework and discussion of past risk alerts on the subject. Also a discussion about the rule amendments, which entities are subject to the Regulation S-P Amendments, incident response program expectations, and SEC perspectives on the monitoring process. Also 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
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.
Panel C: Examination Workshop
Examination staff engagement in an incident response tabletop discussion, review of a sample document request list, and demonstration of a mock examination session.
Q&A
The panelists answered pre-submitted and live audience questions.
Related Materials
- Final Rule: Federal Register Version
- Fact Sheet
- Press Release
- Small Entity Compliance Guide
- Video of Prior Event: Compliance on Regulation S-P for Large Firms
- Video of Prior Event: Compliance on Regulation S-P for Transfer Agents
U.S. Securities and Exchange Commission
100 F St. NE
Washington, DC 20549
United States
The Securities and Exchange Commission held its third and final outreach event to help firms comply with amendments to Regulation S-P. This hybrid event was geared toward small firms in advance of their June 3, 2026, compliance date.
Staff from the Division of Examinations, Division of Investment Management, and Division of Trading and Markets discussed new Regulation S-P compliance obligations as well as what to expect when interacting with an exam team during an examination.
Agenda
Panel A: Historical Discussion of Regulation S-P and the Rule’s New Provisions
Discussion of the history of the regulation, including an overview of core aspects of the regulatory framework and discussion of past risk alerts on the subject. Also a discussion about the rule amendments, which entities are subject to the Regulation S-P Amendments, incident response program expectations, and SEC perspectives on the monitoring process. Also 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
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.
Panel C: Examination Workshop
Examination staff engagement in an incident response tabletop discussion, review of a sample document request list, and demonstration of a mock examination session.
Q&A
The panelists answered pre-submitted and live audience questions.
Related Materials
Last Reviewed or Updated: Feb. 5, 2026