On November 17, 2025, the SEC’s Division of Examinations released its Fiscal Year 2026 Examination Priorities. The Division continues to emphasize investor protection, market integrity, and transparent, risk-based oversight. The priorities most relevant to investment advisers, funds, and broker-dealers fall into several core themes.
Fiduciary standard, standards of conduct, and product oversight
Free Trial
Register for free to keep reading.
To continue reading this article and unlock full access to GRIP, register now. You’ll enjoy free access to all content until our subscription service launches in early 2026.
- Unlimited access to industry insights
- Stay on top of key rules and regulatory changes with our Rules Navigator
- Ad-free experience with no distractions
- Regular podcasts from trusted external experts
- Fresh compliance and regulatory content every day
