US SEC Examination Priorities for 2021: What You Need to Know

September 2021
Journal of Investment Compliance

The US Securities and Exchange Commission (SEC) Division of Examinations (“The Division’’) has released its 2021 Examination Priorities. Focus themes for the 2021 exam priorities include:

The Division indicated that its examinations and analysis will continue to remain grounded in four main pillars:

A more complete discussion of the exam priorities is included in this article.

This article was originally published by Chapman and Cutler LLP on March 4, 2021, and was republished by the Journal of Investment Compliance in September 2021. The full republished article is posted with permission.

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