For SEC and state-registered investment advisers
Reg S-P Readiness Score
The SEC's Reg S-P amendments are in force and named in the Division of Examinations' 2026 priorities. See how your firm would score, in the language of an exam.
Built by VaultLine Cyber, a Triad InfoSec practice. Cybersecurity for registered investment advisers.
About 6 minutes · 11 questions · No account required
Compliance dates have passed. December 3, 2025 for advisers at $1.5B or more in regulatory AUM. June 3, 2026 for advisers below that line.
The SEC's 2026 exam priorities state the Division will examine for compliance with the 2024 amendments to Regulation S-P.
There is no certification and no pass. More than 90% of examined firms receive a deficiency letter.