Examination Priorities
June 27, 2024
The Division of Examinations annually publishes its examination priorities for the upcoming year to inform investors and registrants of the key risks, trends, and topics that will be the focus of examiners as they conduct their examinations of firms.
- 2024 Examination Priorities
October 16, 2023 - 2023 Examination Priorities
February 7, 2023 - 2022 Examination Priorities
March 30, 2022 - 2021 Examination Priorities
March 3, 2021 - 2020 Examination Priorities
January 7, 2020 - 2019 Examination Priorities
December 20, 2018 - 2018 Examination Priorities
February 7, 2018 - 2017 Examination Priorities
January 12, 2017 - 2016 Examination Priorities
January 11, 2016 - 2015 Examination Priorities
January 13, 2015 - 2014 Examination Priorities
January 9, 2014 - 2013 Examination Priorities
February 21, 2013
Last Reviewed or Updated: July 5, 2024