SEC Schedules Transfer Agent Webinar on New Regulation S‑P Safeguards Rule

USA: SEC Schedules Transfer Agent Webinar on New Regulation S‑P Safeguards Rule

Event Overview

A webinar aimed at transfer agents will be held by the U.S. Securities and Exchange Commission on December 17, 2025, from 1 p.m. to 2 p.m. Eastern Time. The session is part of a series of compliance outreach events focused on the 2024 amendments to Regulation S‑P.

Regulatory Background

The 2024 amendments to Regulation S‑P introduce a Safeguards Rule that applies to transfer agents for the first time, expanding the scope of privacy protections required for investors’ personal information.

Program Details

Staff from the SEC’s Divisions of Examinations and Trading and Markets will present the new compliance obligations, outline expectations for interactions with exam teams, and field questions from participants. While advance registration is not mandatory, the SEC prefers registrants to sign up beforehand, and attendees may submit questions in advance.

Speaker Insight

Keith Cassidy, Acting Director of the Division of Examinations, emphasized the agency’s commitment to investor privacy, stating, “When investors share their personal information with a firm, they deserve to know that this information will be protected.” He noted that the outreach is intended to help transfer agents understand their responsibilities under the Safeguards Rule.

Purpose and Audience

The webinar is designed to assist transfer agents in navigating the new regulatory requirements and to ensure that they are prepared for upcoming examinations related to personal data protection.

Future Sessions

A third outreach event, targeting small firms, is planned for a later date, with details to be announced by the SEC.

Additional Resources

An agenda, speaker bios, and other event information will be posted on the SEC’s Regulation S‑P Compliance Outreach webpage. A recording of the webinar will be made available on the SEC website on the day of the event.

This report is based on information from SEC, licensed under Public Domain (U.S. Government Work). Source: Official U.S. Government release.