06/01/2026
Heads up to the investment advisers and financial firms out there — there's a federal deadline landing this week.
The SEC updated a rule called Regulation S-P, and as of June 3, 2026, it now applies to smaller firms too — not just the big shops. The short version: you need a written plan for what happens if customer data gets breached, and you have to notify affected customers within 30 days.
What catches people off guard is that the responsibility can land on the compliance officer personally, not just the company.
If your firm handles client financial data and you're not sure where you stand, we can help you figure it out. We've put together a free, plain-English guide covering this rule and seven others Texas firms need to know about in 2026.
Want a copy? Comment below or send us a message and we'll send it your way.