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ARTICLE · 22 MARCH 2021

SEC's Division Of Examinations Issues 2021 Examination Priorities

Jones Day
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The U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division") issued its 2021 examination priorities ("2021 Exam Priorities").

United StatesFinance and Banking
Jones Day
Jones Day
Laura S. Pruitt
Laura S. Pruitt
Joshua B. Sterling
Joshua B. Sterling
Corey L. Zarse
Corey L. Zarse
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In Short

The Situation: The U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division") issued its 2021 examination priorities ("2021 Exam Priorities").

The Result: The 2021 Exam Priorities set forth a non-exhaustive list of key areas where the Division intends to concentrate its resources in 2021.

Looking Ahead: SEC registrants, including broker-dealers and registered investment advisers, should use the 2021 Exam Priorities as a resource in administering and improving compliance programs, and expect Division examinations to include the 2021 Exam Priorities.

On March 3, 2021, the U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division"), formerly the Office of Compliance Inspections and Examinations, issued its 2021 Examination Priorities (the "2021 Exam Priorities"), detailing the nonexclusive areas on which it intends to focus its resources for examinations in the coming year. As in

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