March 11, 2021

SEC Division of Examinations Announces FY2021 Priorities

Client Alert
Sydne K. Collier | Alex Dimock | Jessica B. Magee

On March 3, 2021, the Securities and Exchange Commission (SEC) Division of Examinations (DOE, formerly the Office of Compliance Inspections and Examinations) published its annual report detailing 2021 examination priorities and providing a review of its efforts in fiscal year 2020 (October 1, 2019 to September 30, 2020), available here (the Examination Report). Similar to previous years, DOE continues to prioritize examinations of investment advisers, broker-dealers, and other registrants concerning their compliance with federal securities laws and regulations, complete and robust disclosures, and conduct as fiduciaries in furtherance of the SEC’s mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

READ: SEC Division of Examinations Announces FY2021 Priorities

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