Tag Archives: SEC Regulation

The Clock is Ticking: Navigating the New SEC Regulation S-P Amendments Before the 2025 Deadline

2024–2025: What Financial Firms Must Do Now

If you operate a financial institution whether you are a broker-dealer, investment adviser, or transfer agent the regulatory landscape just shifted beneath your feet. On August 2, 2024, the SEC adopted comprehensive amendments to Regulation S-P, modernizing the rules that govern how financial institutions handle nonpublic personal information. While the original regulation (adopted in 2000) […]

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