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

Washington, D.C.--(Newsfile Corp. - December 5, 2025) - 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 Dec. 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.

“When investors share their personal information with a firm, they deserve to know that this information will be protected,” said Keith Cassidy, Acting Director of the Division of Examinations. “We recognize that this is the first time transfer agents are required to comply with Regulation S-P’s Safeguards Rule, and our Division is committed to helping them understand their obligations under the rule to help protect investors’ personal information.”

While not required, advance registration is preferred. Questions may also be submitted in advance.

A link to watch the event will be available on Dec. 17 on www.sec.gov. Additional information about each Regulation S-P compliance outreach event, including the agenda and speakers, will be posted on the Reg Compliance S-P Outreach webpage.