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SEC 2026 exam priorities – what advisers & broker-dealers must know

Front view of the US Securities and Exchange Commission (SEC) headquarters in Washington, DC,
Photo: hapabapa/Getty Images

Janaya Moscony | SEC3

2 min read
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The priorities fall into several core themes: conduct, fiduciary standard, compliance program effectiveness, technology, operational resilience, and cybersecurity.

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

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