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SEC Division of Examinations
In network coverage since September 17, 2026 · 7 stories
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The Wrap
SEC 2027 exam priorities target illiquid products, AI deepfakes
Examiners will review disclosures and whether recommendations matched client objectives; Reg S-P readiness is also on the list.
Manager Selection · Oct 23SEC sets Nov. 19 virtual compliance seminar for advisers and funds
Succession & selling a firm · Oct 21SEC adds advisors involved in RIA mergers to fiscal 2026 exam priority list
Practice management · Oct 6SEC sets Nov. 19 virtual compliance seminar for advisers and funds
Practice management · Oct 6SEC exam division replaces its brochure with a stage-by-stage handbook
Practice management · Sep 17The SEC just gave examiners a checklist for your annual review