The U.S. Securities and Exchange Commission announced a third and final outreach event to support compliance with the amended Regulation S-P, targeted at small firms. The hybrid session is scheduled for January 22, 2026, from 11:00 am to 12:30 pm ET. SEC staff will cover the new Regulation S-P compliance obligations, explain what firms should expect when interacting with an exam team during an examination, and respond to remaining compliance questions. The agenda also includes a workshop featuring an incident response tabletop discussion led by examination staff, a review of a sample document request list, and a mock examination session. The event will be held at SEC Headquarters in Washington, D.C., with in-person and virtual attendance options; a link to watch will be posted on January 22, and recordings and details of prior events are available on the SEC’s Regulation S-P outreach webpage.
U.S. Securities & Exchange Commission 2026-01-09
U.S. Securities and Exchange Commission to host final Regulation S-P compliance outreach event for small firms
The U.S. Securities and Exchange Commission will hold a final outreach event on January 22, 2026, to aid small firms in complying with amended Regulation S-P, featuring compliance guidance, a workshop, and a mock examination session. The hybrid event will take place at SEC Headquarters in Washington, D.C., with virtual attendance available.