SEC adopts amendments to Regulation S-P

The SEC adopted amendments to Regulation S-P to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal information by certain financial institutions. The amendments update the rules’ requirements for broker-dealers (including funding portals), investment companies, registered investment advisers, and transfer agents to address the expanded use of technology and corresponding risks that have emerged since Regulation S-P was originally adopted in 2000. Covered institutions will have 18 to 24 months, depending on size, to comply with the amendments following the rules being published in the Federal Register.
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