Category: SEC Examinations

2022 Examination Priorities Announced By The SEC Division of Examinations
  • Admin
  • Apr 29, 2022
The Division of Examinations of the Securities and Exchange Commission (SEC) recently announced its areas of focus for 2022. The Division takes a risk-based approach to its examinations, typically foc....
SEC Releases Examination Priorities for 2019
  • Admin
  • Mar 08, 2019
The Office of Compliance Inspections and Examinations (OCIE) of Securities and Exchange Commission (SEC) has revealed its examination priorities for the year 2019, on December 20, 2018. Every year ....