Meghan Rohan

Meghan Rohan

Sullivan & Worcester

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SEC’s Proposed Changes to Regulation S-P Would Overhaul Records and Information Requirements of Covered Institutions

On March 15, 2023, the United States Securities and Exchange Commission (“SEC”) proposed amendments to Regulation S-P that, if finalized, would place additional burdens on covered institutions when it comes to handling...more

3/21/2023  /  Broker-Dealer , Covered Entities , Notification Requirements , Proposed Amendments , Proposed Regulation , Regulation S-P , Regulatory Agenda , Securities and Exchange Commission (SEC) , Third-Party Service Provider
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