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February 16, 2023
On February 7, 2023, the Securities and Exchange Commission’s Division of Examinations announced its fiscal year 2023 examination priorities. This year, the Division continues its focus...
December 20, 2022
Find Out What Companies and Investment Firms Need to Know about the SEC’s Exam Priorities for 2023 - Each year, the U.S. Securities and Exchange Commission (SEC)...
May 4, 2022
Each year, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (Division) prioritizes the examination of certain practices, products and services that it...
April 19, 2022
On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission ("SEC") announced its examination priorities for 2022.
April 19, 2022
On March 30, 2022, the SEC's Division of Examinations (the "Division") released its 2022 examination priorities (the 
"Priorities").
April 15, 2022
On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and “SEC,” respectively) announced its examination priorities for 2022. This...
April 13, 2022
On March 30, 2022, the U.S. Securities and Exchange Commission Division of Examinations (the "Division") released its annual list of examination priorities for 2022
March 31, 2022
The Securities and Exchange Commission’s Division of Examinations intends to home in on municipal advisor obligations, transfer agents and municipal issuer disclosures.
December 18, 2020
more than 500 municipal advisors, the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC) and the Public Company Accounting Oversight Board (PCAOB). Over the past several years, in addition to responding to the growth in the investment adviser and national securities exchange populations, the Division has assumed examination responsibilities for many new types of registered entities – includin...
December 17, 2020
more than 500 municipal advisors, the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC) and the Public Company Accounting Oversight Board (PCAOB). Over the past several years, in addition to responding to the growth in the investment adviser and national securities exchange populations, the Division has assumed examination responsibilities for many new types of registered entities – includin...