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Davis Wright Tremaine

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Reminder: “Smaller Entities” Must Comply with Amended Regulation S-P by June 3, 2026

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Michael Borgia
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Michael Butowsky
Of Counsel

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Michael Borgia
Partner
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Michael Butowsky
Of Counsel

Smaller entities—broker-dealers, RIAs, funds, and transfer agents—must comply with the SEC’s amended Regulation S P by June 3, 2026.

Digital compliance interface showing checklist, legal icons, and document validation on tablet screen. Ideal for governance, audit, regulation, and risk management concepts.

Get in touch

Avatar
Michael Borgia
Partner
Avatar
Michael Butowsky
Of Counsel

Get in touch

Avatar
Michael Borgia
Partner
Avatar
Michael Butowsky
Of Counsel

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