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SEC’s Regulation S-P outreach puts small firms on notice

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Photo: Asanka Ratnayake/Getty Images

Vlada Gurvich

6 min read
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Through its dedicated outreach program the SEC offered small firms the clearest indication yet on how compliance with the 2024 Regulation S-P amendments will be examined.

Led by the Divisions of Examinations, Investment Management, and Trading and Markets, the SEC staff used a mock examination with sample document requests and detailed walkthroughs of interview and observation processes to show how the 2024 amendments will operate in real supervisory settings.

The outreach program acknowledged the constraints facing smaller

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