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ARTICLE · 18 DECEMBER 2025

SEC Releases 2026 Examination Priorities Highlighting Compliance, Information Security, And Emerging Technology

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On November 17, 2025, the SEC's Division of Examinations released its examination priorities for fiscal year 2026, identifying areas the agency alleges present heightened compliance and investor protection...

United StatesFinance and Banking
A.J. Dhaliwal
A.J. Dhaliwal
Mehul Madia
Mehul Madia
Maxwell Earp-Thomas
Maxwell Earp-Thomas
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On November 17, 2025, the SEC's Division of Examinations released its examination priorities for fiscal year 2026, identifying areas the agency alleges present heightened compliance and investor protection risks under the federal securities laws. The priorities apply to investment advisers, investment companies, broker-dealers, municipal advisors, transfer agents, self-regulatory organizations, clearing agencies, and other registrants overseen by the Division.

The Division stated that the 2026 priorities reflect evolving market conditions, the introduction of new regulatory requirements, and increased reliance on automated systems and emerging technology. The publication reiterates the agency's four pillars to promote compliance, prevent fraud, monitor risk, and inform policy, and signals a focus on both foundational obligations and operational risks.

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