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SEC adopts amendments to Regulation S-P
Publication date: 16 May 2024
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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.
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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