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ARTICLE · 25 OCTOBER 2023

SEC Announces 2024 Exam Priorities

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On October 16, 2023, the Division of Examinations of the U.S. Securities and Exchange Commission (the "Division" and the "SEC," respectively) announced its examination priorities...

United StatesFinance and Banking
Anna T. Pinedo
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Adam Kanter
Adam Kanter
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On October 16, 2023, the Division of Examinations of the U.S. Securities and Exchange Commission (the "Division" and the "SEC," respectively) announced its examination priorities for 2024. 1 While the Division typically announces its examination priorities near the start of the calendar year, this is the first time that the Division has published its examination priorities this early, to align with the start of the fiscal year. The Division stated its hope that this will better inform investors and registrants of key risks, trends and examination topics on which the Division intends to focus in 2024.

As in prior years, the Division's examination priorities focus on areas that the Division believes pose emerging risks to the markets or to investors, in addition to existing core risk areas. The Division acknowledged the short interval of eight months since the publication of the fiscal year 2023 priorities and noted that several areas of focus from last year will

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This Mayer Brown article provides information and comments on legal issues and developments of interest. The foregoing is not a comprehensive treatment of the subject matter covered and is not intended to provide legal advice. Readers should seek specific legal advice before taking any action with respect to the matters discussed herein.

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