7 Top SEC Exam Priorities for 2024
October 16, 2023 | Melanie Waddell | Think Advisor
The Securities and Exchange Commission has released its 2024 examination priorities to inform investors and registrants of the key risks, exam topics and priorities that the division plans to focus on in the upcoming year.
Next year’s exams, the agency said Monday, will prioritize areas that pose emerging risks to investors or the markets in addition to core and perennial risk areas.
“The Division of Examinations plays a critical role in protecting investors and facilitating capital formation,” said SEC Chairman Gary Gensler, in a statement. “In examining for compliance with our time-tested rules, the Division helps registrants understand the rules as well as ensures that markets work for investors and issuers alike. The Division’s efforts, as laid out in the 2024 priorities, enhance trust in our ever-evolving markets.”
Richard Best, director of the Division of Examinations, said the agency hopes “that aligning the publication of our examination priorities with the beginning of the SEC’s fiscal year will provide earlier insight to registrants, investors, and the marketplace of adjustments in our areas of focus year to year.”
