The SEC has unveiled its 2024 Exam Priorities, signposting where attention is likely to be focused during the year ahead. Typically circulated towards the start of the calendar year, the regulator has published early to ensure investors and registrants are better informed of the risks, trends, and examination topics for the
SEC announces 2024 exam priorities

Guidance on where to focus when preparing for the 2024 SEC exams.
Advertising, AML, Compliance, Crypto, Customer protection rule, Cybersecurity, IAA 1940, IAA 1940 Rule 206(4)-7, Investment Company Act 1940, Net Capital Rule, Private Fund Rule, SEA 1934, SEA 1934 Rule 15c2-11, SEA 1934 Rule 18f-4, SEC, SEC Form ADV, SEC Form CRS, SEC Marketing Rule, SEC Reg BI, US Content
