SEC Division of Examinations Announces 2027 Examination Priorities
Wednesday, November 4, 2026 · first reported by Seward & Kissel LLP via JD Supra and 1 other
Fiscal year 2027 examination priorities were announced on October 23, 2026 by the SEC Division of Examinations. The list marks where the Division will give closer scrutiny. Firms in scope include advisers to investors, investment companies, broker-dealers, clearing agencies and SROs, along with other market participants. Morrison & Foerster's write-up sorts the themes into conflicts, emerging technologies and complex products.
- Asset class
- Hedge funds
- Geography
- North America
The summary and fields above are extracted from the published reports and can contain errors. The linked articles are the source of record.
See an error?
Coverage
2 sourcesMore on SEC Division of Examinations
Everything on this firm →- SEC Classifies More Funds, Advisers As 'Small Entities'Law360
- SEC Staff Spotlights Private Credit Valuation And DisclosureDLA Piper via JD Supra
- Regulation Update: The SEC’s new digital asset framework, and what RIAs should be thinking aboutIREI
- SEC Division of Examinations Releases its 2027 Examination PrioritiesSeward & Kissel LLP via JD Supra +2
- SEC fires starting gun on the race for retailPrivate Funds CFO
- California’s OHCA Finalizes Sweeping Revisions to Health Care Transaction Review Regulations: What Dealmakers Need to KnowMintz
- SEC’s 2027 Examination Priorities Focus on Conflicts, Private Credit, and Emerging TechnologyAlston & Bird via JD Supra
- Treasury Seeks to Bar Investments in Foreign Super Intelligence DevelopersHaynes Boone via JD Supra
- The CFTC Cleared Perpetual Futures on Individual U.S. Stocks to Trade on Registered Exchanges for the First TimeHedgeCo
- FCA Proposals for the SMCR Regime - Round 2: Thoughts for Private Fund ManagersGoodwin via JD Supra
- SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment AdvisersSEC Press Releases
Got news? Send it to us →