The SEC held its third and final outreach event on January 22, from 11:00am to 12:30pm ET, to help firms comply with the amendments to Regulation S-P ("Reg S-P"). The event was focused on small firms in preparation for the June 3, 2026 compliance date and follows the original event focused on large firms prior to the December 3, 2025 compliance date and a second event focused on transfer agents.

The SEC has initiated a Reg S-P examination sweep and is gathering information through their examination efforts of firms efforts to comply with amended Reg S-P. We will monitor for additional guidance that the SEC may publish based on their examinations.

Additional information about each Reg S-P compliance outreach event, including the recordings of previous events, is available on the SEC's Reg Compliance S-P Outreach webpage.