FINRA Webinar: Regulation S-P Preparedness Support (Duration: 26 Minutes)

This webinar provides member firms with an overview of the key elements of the SEC's amendments to Regulation S-P and relevant resources to help member firms prepare for the upcoming compliance dates—December 3, 2025, for “larger entities” and June 3, 2026, for “smaller entities”.

These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

FINRA Speakers

• Jason Beachy, Vice President, Cyber and Analytics Unit
• Carrie Jordan, Assistant General Counsel, Regulatory
• Robert Francis, Senior Director, Cyber and Analytics Unit

Resources

• SEC
  • Press Release—SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
  • Final Rule Release
  • Fact Sheet
  • Small Entity Compliance Guide
  • Compliance Outreach on Regulation S-P (which now includes the “Webcast Archive” of the SEC’s prior webinar for large entities)
• FINRA
  • Cybersecurity Advisory – SEC Amends Regulation S-P Enhancing Protection of Customer Information