7 Top SEC Exam Priorities for 2024
Melanie Waddell | Think Advisor
The Securities and Exchange Commission has released itsĀ 2024 examination prioritiesĀ 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 yearās exams, the agency said Monday,Ā will prioritize areasĀ that pose emerging risks to investors or the markets in addition to core and perennial risk areas.
āThe Division of Examinations plays a critical role in protecting investors and facilitating capital formation,ā said SEC Chairman Gary Gensler, in a statement. āIn 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 Divisionās efforts, as laid out in the 2024 priorities, enhance trust in our ever-evolving markets.ā
Richard Best, director of the Division of Examinations, said the agency hopes āthat aligning the publication of our examination priorities with the beginning of the SECās fiscal year will provide earlier insight to registrants, investors, and the marketplace of adjustments in our areas of focus year to year.ā