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5/21/2026 1:22:29 PM | less than a minute read

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

Get in touch

Michael Borgia

Partner

Michael Butowsky

Of Counsel

Get in touch

Michael Borgia

Partner

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

Michael Borgia

Partner

Michael Butowsky

Of Counsel

Get in touch

Michael Borgia

Partner

Michael Butowsky

Of Counsel

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