The Securities and Exchange Commission’s division of examinations has released its 2026 examination priorities. The division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the division plans to focus on in the new fiscal year and to encourage firms to direct their compliance efforts on areas of potentially heightened risk.
“Examinations are an important component to accomplishing the agency’s mission, but they should not be a ‘gotcha’ exercise,” said SEC Chairman Paul S. Atkins. “The release of examination priorities should enable firms to prepare to have a constructive dialogue with SEC examiners and provide transparency into the priorities of the agency’s most public-facing division.”
The division examines SEC-registered investment advisers, investment companies, broker-dealers, clearing agencies and self-regulatory organizations, among others, for compliance with federal securi
