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SEC to Host Webinar for Transfer Agents on Regulation S-P

Published 5 December 2025 | United States

Summary

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…

Sectors

Capital Markets & Trading Investment Management

Topics

Reporting & Disclosure Authorisation & Licensing

Relevant Firm Types

Broker DealerAsset Manager

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