The SEC’s Division of Examinations has released its 2026 examination priorities, underscoring its continued commitment to transparency and helping firms anticipate areas of increased regulatory attention. The Division emphasizes that examinations are designed to support compliance, not act as a “gotcha” exercise, by encouraging constructive, productive dialogue between firms and examiners.
For the coming year, the Division will continue reviewing SEC-registered advisers, investment companies, broker-dealers, clearing agencies, and self-regulatory organizations to ensure adherence to federal securities laws. The 2026 priorities reflect the Division’s four core pillars: promoting compliance, preventing fraud, monitoring risk, and informing policy, with a focus on practical and transparent oversight in an evolving financial landscape.
Key focus areas include fiduciary duty, standards of conduct, custody rule compliance, and readiness for new regulations, particularly the 2024 amendments to Regulation S‑P. Newly registered advisers and investment companies will remain a priority, reinforcing the importance of building strong compliance programs from the start.
While these priorities highlight key focus areas, they are not comprehensive. The scope of an examination may also consider firm-specific risk factors, including an entity’s history, operations, products, and services. Firms are encouraged to use these priorities as a proactive roadmap to strengthen controls and prepare for regulatory engagement throughout the 2026 fiscal year.
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