Examination Priorities

The SEC’s Fiscal Year 2026 Examination Priorities outline where regulators are focusing as market complexity, technology adoption, and risk continue to evolve. The report highlights key areas of scrutiny across investment advisers, broker-dealers, funds, and market infrastructure, with particular attention to compliance effectiveness, cybersecurity, and emerging technologies like AI. Together, these priorities offer insight into how regulatory expectations are shifting and where firms may want to sharpen governance, controls, and risk awareness.