2026 SEC Examination Priorities
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Division of Examinations: Fiscal Year 2026 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The annual publication of the examination priorities furthers the SEC’s mission and aligns with the Division’s four pillars to promote and improve compliance, prevent fraud, monitor risk, and inform policy. The SEC’s transparency-minded approach aims to align firms’ compliance efforts with heightened risk areas, from fiduciary duties to cybersecurity and emerging technologies.
The 2026 examination priorities cover a broad landscape of potential risks to investors that firms should consider as they review and strengthen their compliance programs. They are not, however, an exhaustive list of all the areas the Division will focus on in the upcoming year. The scope of any examination includes analysis of other risk factors such as an entity’s history, operations, and products and services.
Key Points for Investment Advisers
- The SEC is targeting advisers whose business practices may create additional risks or conflicts of interest.
- Documentation around product disclosures, client objectives, and execution is under increased review.
- Firms should expect detailed scrutiny of compliance policies and annual review effectiveness, particularly during transitions, mergers, and new business or product launches.
- Expect specialized attention if the firm is dually registered, has recently merged or acquired other firms, or leverages third-party integrations for client access
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