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SEC’s 2026 Examination Priorities for Investment Advisers
On November 17, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its annual examination priorities for fiscal year 2026 (the Report). The Report outlines key risk areas where the Division may allocate resources in the coming year. Notably, this is the first release under Chairman Paul Atkins and reflects the Division’s reduced resources, resulting in an increased emphasis on operational effectiveness and efficiency in comparison to previous…
By: Lowenstein Sandler LLP