Topic
Examination Priorities
48 published works
The Securities Law Blog
SEC Division of Examinations Announces 2026 Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics…
Compliance Building
2025 Examination Priorities
Since 2013, the Securities and Exchange Commission’s Division of Examinations has published its annual examination priorities to inform investors and the industry about key areas where the Division intends to…
Financial Services Observer
SEC Division of Examinations 2024 Priorities
By Arthur Don, Steven M. Malina, John Warren
The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in October. In 10 years of priority announcements, this is by far the earliest annual…
Free Writings + Perspectives
SEC Announces 2024 Exam Priorities
By Anna T. Pinedo, Adam D. Kanter, Leslie S. Cruz, Steffen Hemmerich, Timothy Nagy, Marc Leong
On October 16, 2023, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission announced its examination priorities for 2024. While the Division typically announces its examination…
Free Writings + Perspectives
US SEC Announces 2023 Exam Priorities
By Steffen Hemmerich, Adam D. Kanter, Wonji Kim, Timothy Nagy, Anna T. Pinedo, Mark Zhuang
On February 7, 2023, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and the “SEC,” respectively) announced its examination priorities for 2023. This year, the…
Financial Services Observer
SEC Announces 2023 Examination Priorities
By Richard M. Cutshall, Arthur Don, Paul Ferak, Steven M. Malina, David E. Beale
On Feb. 7, 2023, the Securities and Exchange Commission’s Division of Examinations announced its 2023 examination priorities. The announcement focuses on six different categories. Continue reading the full GT Alert.
The Securities Law Blog
SEC Division of Examinations Announces 2023 Priorities
The Securities and Exchange Commission’s Division of Examinations today announced its 2023 examination priorities. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the…
Free Writings + Perspectives
US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities
By Peter M. McCamman, Leslie S. Cruz, Adam D. Kanter, Stephanie M. Monaco, Anna T. Pinedo, Steffen Hemmerich, Stephen Vogt, Wonji Kim
On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (“SEC”) announced its examination priorities for 2022. This year’s priorities specifically focus on: (i) private…
The Securities Law Blog
SEC Division of Examinations Announces 2022 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations today announced its 2022 examination priorities, including several significant areas of focus and many perennial risk areas. The Division will focus on…
Investment Management Regulatory Update
Confused By The Signs? SEC Publishes Annual Guide to Examination Priorities
Our recent posts have walked you through the SEC’s new marketing rule and discussed valuation and fee assessment. Now, with the ADV season, hopefully, in your rear-view mirror, we turn…