News & Insights: Regulation S-P

Smaller Advisers: Time to Comply with Amended Reg S-P

The final compliance deadline of Amended Reg S-P is finally here. For smaller entities, who manage less than $1.5B in AUM, there are less than two months until the June 3, 2026, deadline.

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SEC Request Letter Could Signal Reg S-P Sweep

A recent SEC document request letter could be indicative of a long-predicted sweep of firms for the SEC to evaluate compliance with Amended Regulation S-P, according to at least one news outlet. Thirty items gleaned from a new SEC document request letter focus on cybersecurity protections and breaches.

Today’s the Day: Amended Reg S-P Compliance Deadline

After months of preparation, today’s the day: All smaller firms ($1.5B or less in AUM) must comply with Amended Regulation S-P by today, June 3, 2026. These firms now join the larger firms that began complying on December 3, 2025.

Smaller Advisers: Time to Comply with Amended Reg S-P

The final compliance deadline of Amended Reg S-P is finally here. For smaller entities, who manage less than $1.5B in AUM, there are less than two months until the June 3, 2026, deadline.

SEC Shares Amended Reg S-P Initial Document Request List

On January 22, 2026, the SEC held its final webinar on Amended Regulation S-P. This webinar focused on compliance issues for smaller entities with less than $1.5 billion in assets under management.

SEC Webinar: Amended Regulation S-P Compliance for Small Firms

The SEC has announced it will hold its final Amended Regulation S-P outreach event on January 22, 2026, at 11:00 AM ET, in anticipation of the upcoming June 3, 2026, compliance deadline for small firms.

Regulation S-P Enforcement Action and SEC Outreach on Amended Regulation S-P

The SEC recently published settled charges against a dual-registrant for compliance failures under the prior version of Regulation S-P.

The Countdown is on: Time to Comply with Amended Reg S-P

The compliance deadline for larger advisers (those with $1.5B or more in AUM) is less than two weeks away (Dec. 3, 2025). While much of what the previous administration proposed has been tossed or postponed, the SEC has made it clear that Amended Reg S-P is not only here to stay, but it’s also a key focus area.

SEC on Amended Reg S-P: This is Happening

On September 17, 2025, The Securities and Exchange Commission (“SEC”), jointly with the Commodity Futures Trading Commission (“CFTC”), voted to extend the compliance date for the amendments to Form PF again. 

SEC Webinar: Adoption of Amended Regulation S-P

The SEC announced it will host a webinar regarding the adoption of Amended Regulation S-P for large firms on Sept. 25, 2025, at 1:00 pm ET. The webinar is part of a series of three events regarding the amendments. The other two events, for transfer agents and small firms, will be announced at a later date.

Regulatory Preparedness 2025: Amended Reg S-P

Despite efforts to postpone Amended Regulation S-P, industry experts believe that the SEC is unlikely to postpone Amended Regulation S-P. Given the impending deadline, advisers should work diligently to meet the quickly approaching compliance date.

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