EXAMS Publishes 2024 SEC Examination Priorities

2024 Examination Priorities Report - SEC.gov

DIVISION OF EXAMINATIONS – FISCAL YEAR 2024 EXAMINATION PRIORITIES ... Last fiscal year, the Division published nine risk alerts providing observations ...

SEC Division of Examinations Announces 2024 Priorities

The Securities and Exchange Commission's Division of Examinations today released its 2024 examination priorities ... The published priorities are ...

US SEC Division of Exams Announces 2025 Examination Priorities

On October 21, 2024, the U.S. Securities and Exchange Commission (SEC or Commission) Division of Examinations (Division) published its ...

Examination Priorities - SEC.gov

The Division of Examinations annually publishes its examination priorities for the upcoming year to inform investors and registrants of the key risks, trends, ...

SEC Division of Examinations Announces 2025 Exam Priorities

On October 21, 2024, the Division of Examinations (“EXAMS” or the “Division”) of the U.S. Securities and Exchange Commission (“SEC”) released ...

SEC Division of Examinations Announces 2025 Priorities

This year's examinations will prioritize perennial and emerging risk areas, such as fiduciary duty, standards of conduct, cybersecurity, and ...

EXAMS Publishes 2025 SEC Examination Priorities - Fried Frank

The 2025 Priorities significantly overlap with the 2024 examination priorities, and include focus areas for investment advisers, broker-dealers ...

SEC Division of Examinations publishes 2025 Examination Priorities

On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) published its ...

The SEC Announces its 2025 Exam Priorities - O'Melveny

On October 21, 2024, the Securities and Exchange Commission's Division of Examinations published its 2025 examination priorities.

SEC Outlines 2024 Examination Priorities

On October 16, 2023, the Securities and Exchange Commission's (SEC) Division of Examinations (the Division) published its annual examination ...

SEC Outlines 2025 Examination Priorities

Key risk areas for SEC registrants include standards of conduct, complex products, cybersecurity, digital engagement, and artificial ...

2024 SEC Division of Examinations Priorities Summary - Venable LLP

The SEC's Division of Examinations got a head start this fiscal year, announcing its 2024 Examination Priorities (2024 Priorities) at the ...

SEC Division of Examinations Releases 2024 Priorities - Dechert LLP

Key Takeaways · The SEC's Division of Examinations (EXAMS) published its report on 2024 Examination Priorities on October 16, 2023. · The 2024 ...

SEC Division of Examinations Publishes 2025 Priorities

1, 2024–Sept. 30, 2025). First published in 2013, the SEC's annual examination priorities inform industry participants about key areas the ...

Compliance Alert: SEC's 2025 Examination Priorities - Morgan Lewis

The US Securities and Exchange Commission's (SEC's) Division of Examinations released its annual report of examination priorities on October ...

U.S. SEC Division of Exams Announces 2024 Examination Priorities

U.S. SEC Division of Exams Announces 2024 Examination Priorities · certain recommended products, including those discussed above for investment ...

What Do the SEC's 2024 Exam Priorities Mean for You?

On October 16, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) published its set of ...

SEC EXAMS Division - 2024 Priorities Announced - Goodwin

On October 16, 2023, the SEC's Division of Examinations (EXAMS) published its exam priorities for 2024.

The SEC Publishes 2024 Examination Priorities Ahead of Schedule ...

The first two are reprised from the most recent iteration of the exam priorities. Notably absent from the Report, after being featured in the ...

SEC's Division of Examinations Publishes Its 2025 Exam Priorities

The 2025 Exam Priorities reflect the Division's continued focus on examinations of registered investment companies (“RICs” or “funds”), ...