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SEC Releases 2026 Examination Priorities Highlighting Compliance, Information Security, and Emerging Technology

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On November 17, 2025, the SEC’s Division of Examinations released its examination priorities for fiscal year 2026, identifying areas the agency alleges present heightened compliance and investor protection risks under the federal securities laws. The priorities apply to investment advisers, investment companies, broker-dealers, municipal advisors, transfer agents, self-regulatory organizations, clearing agencies, and other registrants overseen by the Division….
By: Sheppard Mullin Richter & Hampton LLP

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