In a recent speech, Acting Director of the SEC’s Division of Examinations (Exams) Keith Cassidy reminded SEC registrants of the new requirements imposed by the amendments to Regulation S-P. He noted that the dates for compliance are approaching and provided information about how Exams intends to proceed. The bottom line on compliance preparedness is that there is no better time than the present, particularly for larger entities and most broker-dealers, who have the earliest compliance date of Dec. 3, 2025. Smaller entities must comply with the amendments by June 3, 2026. Read on to learn what covered institutions should do to assess their readiness and prepare for the compliance date.
