The SEC's wrapping up its compliance outreach series on January 22nd with a third and final session on Regulation S-P amendments. This one's geared toward smaller firms, so if that's you, the agency's keeping doors open for both in-person and remote participation. Worth catching if your business needs to get aligned with the updated regs.
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The SEC's wrapping up its compliance outreach series on January 22nd with a third and final session on Regulation S-P amendments. This one's geared toward smaller firms, so if that's you, the agency's keeping doors open for both in-person and remote participation. Worth catching if your business needs to get aligned with the updated regs.