SEC to Host Webinar for Transfer Agents on Regulation S-P

The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17 from 1 p.m. to 2 p.m. ET. The third event in the series, for small firms, will be announced at a later date. The Regulation S-P compliance outreach events are tailored for each registrant type and scheduled according to the compliance deadlines published in the Regulation S-P rule amendments. Staff from the Divisions of Examinations and Trading and Markets will cover the new Regulation S-P compliance obligations, discuss what to expect when interacting with an exam team during an examination, and answer any remaining compliance questions.