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Division of Examinations: SEC Fiscal Year 2026 Examination Priorities for Investment Advisers
On November 17, 2025, the Division of Examinations of the United States Securities & Exchange Commission (the “Division”) published the Fiscal Year 2026 Examination Priorities. In addition to investment advisers, the Division has examination responsibility for broker-dealers, investment companies, self-regulatory organizations, clearing agencies, and other market participants such as municipal advisors, collectively referred to as “Market Participants.” This DCS Alert addresses the examination…
By: Dinsmore & Shohl LLP