SEC to Host Hybrid Event on Regulation S-P for Small Firms

Washington, D.C.--(Newsfile Corp. - January 9, 2026) - The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is scheduled for January 22, 2026, from 11:00 am to 12:30 pm ET.

At the event, SEC staff 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. It will also include a workshop where examination staff will engage in an Incident Response tabletop discussion, review a sample document request list, and demonstrate a mock examination session.

Strengthening protections for investors personal data is a benefit to both firms and investors, said Keith Cassidy, Acting Director for the Division of Examinations. We recognize implementation of these new requirements may create challenges associated with compliance, and the SECs Division of Examinations wants to help firms clearly understand these new requirements.

The event will take place at SEC Headquarters located at 100 F St. NE in Washington D.C. For in-person attendance, please register. For online attendance, advanced registration is preferred but not required. Questions may also be submitted in advance.

A link to watch the event will be available on January 22 on www.sec.gov. Additional information about each Regulation S-P compliance outreach event, including the recordings of previous events, are available on the Reg Compliance S-P Outreach webpage.

You May Also Be Interested In

• Air T reports revenue jump but widens operating loss in Q1 fiscal 2027
• Nerdy Inc. to execute 1-for-15 reverse stock split on Aug. 19
• VICI Properties closes $1.75B senior unsecured notes offering