U.S. Securities and Exchange Commission building in Washington, D.C. SEC Announces 2022 Examination Priorities
On March 30, the SEC's Division of Examinations (DOE) announced its examination priorities for 2022. The list of priorities reflects the DOE's assessment of "certain risks, issues, and policy matters that arise out of market and regulatory developments, information gathered from examinations and other sources."
May 18, 2022 at 10:00 AM
14 minute read
Financial Services and Banking
On March 30, 2022, the Securities and Exchange Commission's Division of Examinations (DOE) announced its examination priorities for 2022 (2022 Examination Priorities), available at https://www.sec.gov/files/2022-exam-priorities.pdf. Examination priorities, which are released annually, provide investors and registrants with transparency into those areas that DOE believes bring heightened risks to investors, registrants, and the markets.
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