SEC Division of Examinations Announces 2026 Exam Priorities

Under new SEC leadership, the Division’s 2026 Examination Priorities reflect a modified approach, following a reevaluation of the Division’s risk-based priorities, and a renewed focus on several traditional risk areas (including Regulation Best Interest, adherence to fiduciary standards of conduct, complex products and the Broker-Dealer Financial Responsibility Rules) as well as continued attention to emerging risks, such as those arising in connection with cybersecurity, Artificial Intelligence and automated investment tools.