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期货和衍生品行业监管动态

companies, broker-dealers, clearing agencies, and self-regulatory organizations,

among others, for compliance with federal securities laws. The annual publication of

the examination priorities furthers the SEC’s mission and aligns with the Division’s

four pillars to promote and improve compliance, prevent fraud, monitor risk, and

inform policy.

“In this increasingly complex and changing financial and regulatory environment,

we strive to improve compliance in a way that that is both transparent and practical,”

said Keith Cassidy, Acting Director of the Division of Examinations. “Fiscal year

2026 marks an important time for the Division to build on our strengths, advance our

mission with renewed focus, and ensure that our examination program continues to

protect the investing public and support fair and orderly capital markets.”

For fiscal year 2026, in addition to conducting examinations in core areas such as

fiduciary duty, standards of conduct, and the custody rule, the Division will also

examine for compliance with new rules, such as the 2024 amendments to Regulation

S-P. As with previous years, the Division will prioritize examinations of newly

registered advisers and investment companies to empower and encourage building

robust compliance programs.

The 2026 examination priorities cover a broad landscape of potential risks to

investors that firms should consider as they review and strengthen their compliance

programs. They are not, however, an exhaustive list of all the areas the Division will

focus on in the upcoming year. The scope of any examination includes analysis of

other risk factors such as an entity’s history, operations, and products and services.

https://www.sec.gov/newsroom/press-releases/2025-132-sec-division-examinations-a

nnounces-2026-priorities

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