SEC Announces Examination Priorities for Fiscal Year 2027
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On October 23, 2026, the U.S. Securities and Exchange Commission (SEC) announced the examination priorities of its Division of Examinations for fiscal year 2027. The SEC stated that these priorities are intended to promote compliance, prevent fraud, identify and monitor risks, and inform policymaking. The examinations cover more than 34,000 registered entities and involve areas including investment adviser fiduciary duties, complex and high-risk products, private funds and private credit, broker-dealer anti-money laundering compliance, operational resilience and cybersecurity, emerging technologies, Treasury clearing reform, and tokenization.
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- SEC — Press releasesSEC announces FY 2027 examination priorities
SEC announced the FY 2027 examination priorities of the Division of Examinations, aimed at promoting compliance, preventing fraud, identifying and monitoring risks, and informing policy development. The priorities cover more than 34,000 registered entities and include investment advisers’ fiduciary duties, complex and high-risk products, private funds and private credit, broker-dealer anti-money laundering compliance, operational resilience and cybersecurity, emerging technologies, Treasury clearing reforms, and tokenization.
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