The June 3, 2026 deadline to comply with the SEC’s Reg S-P Amendments for “smaller entities” is fast approaching. Compliance with the new Reg S-P Amendments will be a priority in SEC examinations conducted this year. which governs how financial institutions including broker dealers and SEC investment advisers protect consumer financial data.

Compliance Advisers can assist firms in meeting the requirements by preparing customized written policies and procedures and offering helpful tools that outline steps that smaller entities can take to achieve compliance.

For questions or assistance preparing for the June 3, 2026, compliance deadline, please contact us.