On February 7, the Division of Examinations of the Securities and Exchange Commission (the “Division”) published its 2023 Examination Priorities (the “Exam Priorities”). 1 The Exam Priorities indicate ...
On November 17, 2025, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for 2026 (the “Priorities”). The Priorities ...
The Securities and Exchange Commission has released its 2024 examination priorities to inform investors and registrants of the key risks, exam topics and priorities that the division plans to focus on ...
Just because ESG wasn't mentioned in the SEC’s examination priorities doesn’t mean that ESG regulation is out of mind for the agency. The Securities and Exchange Commission didn't mention reviewing ...
The SEC's Division of Examinations (commonly known as EXAMS) is the oversight branch of the Securities and Exchange Commission. It's the second largest section of the agency, after the enforcement arm ...
Less than eight months since the publication of the Securities and Exchange Commission’s Division of Examinations 2023 priorities, the organization tasked with overseeing registered investment ...
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