The U.S. Securities and Exchange Commission announced it will hold a webinar for transfer agents as the second in its compliance outreach series tied to the 2024 amendments to Regulation S-P. The event is scheduled for Dec. 17 from 1 p.m. to 2 p.m. ET and is intended to help transfer agents understand and prepare for the new Regulation S-P compliance obligations, including the Safeguards Rule. Staff from the Divisions of Examinations and Trading and Markets will cover the updated requirements, explain what firms can expect when interacting with an exam team during an examination, and respond to remaining compliance questions. The outreach events are tailored by registrant type and are timed to align with the compliance deadlines in the Regulation S-P amendments; a third event for small firms will be announced later. Advance registration is preferred, questions may be submitted in advance, and the SEC will post a viewing link along with the agenda and speaker information on its Regulation S-P compliance outreach webpage.
U.S. Securities & Exchange Commission 2025-12-05
U.S. Securities and Exchange Commission to host Regulation S-P compliance webinar for transfer agents
The U.S. Securities and Exchange Commission will hold a webinar for transfer agents on Dec. 17 as part of its compliance outreach series related to the 2024 amendments to Regulation S-P. The session will cover updated compliance obligations, including the Safeguards Rule, and provide guidance on examination interactions. A third event for small firms will be announced later.