SEC Division of Examinations Announces 2024 Examination Priorities

SEC Division of Examinations Announces 2024 Examination Priorities

The Division of Examinations at the US Securities and Exchange Commission (SEC) has announced its examination priorities for the upcoming fiscal year, beginning October 1st, 2024. These priorities are designed to protect investors and facilitate capital formation in the markets by providing insight into areas where risk may be heightened and informing the organization's policy making. The appointment of Richard R. Best as the Director of the Division of Examination marks a renewed commitment to transparency with earlier publication of the priorities to provide more timely awareness of changes in focus areas from year to year. The Division’s mission is to improve compliance with SEC regulations, prevent fraud, monitor risk and inform policy making. These goals will be achieved through a risk-based approach, focusing on practices, products and services that pose potentially heightened risks to investors and the integrity of the U.S. capital markets. Division staff helps to formulate these priorities through feedback and advice from the Chair and Commissioners, other SEC divisions and offices, federal financial regulators, investors, and industry groups.