The 2026 priorities carry forward many of the themes from 2025, but the tone has shifted from early groundwork to more stringent expectations.
SEC Form CRS
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
Recent cases highlight the SEC's continuing focus on how financial incentives influence employee recommendations.
Disciplinary decisions issued May 24 – 30, 2025.
Disciplinary decisions issued May 3 – 9, 2025.
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
Guidance on where to focus when preparing for the 2024 SEC exams.
Regulator aims to provide earlier insight by aligning publication with the start of its fiscal year.