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2021 SEC Examination Priorities for Securities Industry Registrants

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The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of 2021 Examination Priorities on March 3, 2021.

Many of the Division’s 2021 examination priorities, including focus on conflicts of interest for brokers and investment advisers, among others, are perennial risk areas that the Division routinely prioritizes. While the SEC release discusses new issues in greater detail than continuing areas of interest, practitioners should continue to focus on these areas and monitor whether the SEC provides guidance throughout the year.

Continue reading the full GT Alert.


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