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SEC Issues New Regulation S-P Rules

June 6, 2024

Forvis Mazars: An SEC final rule updates Regulation S-P regarding the treatment of nonpublic personal information impacting broker-dealers, investment companies, and investment advisers.

On May 16, 2024, the SEC released a final rule updating Regulation S-P, which covers the treatment of nonpublic personal information by broker-dealers (including funding portals), investment companies, registered investment advisers, and for the first time, transfer agents. Read more…