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SEC Sets Regulation S-P Deadline
Coverage from JD Supra, DWT Privacy & Security Law Blog, and others
Smaller broker-dealers, registered investment advisers, investment companies, funding portals, and certain transfer agents must comply with the SEC's amended Regulation S-P by June 3, 2026.
The amendments require written incident-response programs, customer notification within 30 days for qualifying breaches, oversight of service providers, and documented safeguards for broadly defined customer information. The SEC has identified Regulation S-P compliance as a priority for fiscal year 2026 examinations.
The update mainly clarifies and sharpens the regulatory timeline and obligations under amended Regulation S-P, while confirming that compliance is now an SEC examination priority. It also newly states that larger entities already faced a December 3, 2025 deadline.