SEC to Host Webinar for Transfer Agents on Regulation S-P
Why this matters
This regulatory update from the SEC is relevant for transfer agents, which are typically broker-dealers and asset managers. It covers reporting and disclosure requirements under Regulation S-P, as well as authorization and licensing for these firms.
AI-generated classification rationale, not a full analysis. Verify with the original SEC source before acting. Full disclaimer.
What the SEC said
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17…
Published by SEC . Read the full notice at the source for the authoritative text.
Context
Securities and Exchange Commission (SEC) — Primary regulator of US securities markets. We track 295 updates from them.
US financial regulation is overseen by multiple agencies including the SEC, CFTC, Federal Reserve, OCC and FDIC. Browse all United States updates.
This update is classified under Reporting & Disclosure, Authorisation & Licensing, Capital Markets & Trading and Investment Management.