SEC 2025 Exam Priorities
The U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its 2025 examination priorities on October 21, 2024 (the “2025 Priorities”). The 2025 Priorities highlight a wide range of topics for entities subject to SEC examinations, particularly investment advisers and broker-dealers. The topics should be very familiar, as they largely continue recent focus areas […]
Posted by James R. Burns, Brant Brown, and Robin M. Bergen, Cleary Gottlieb Steen & Hamilton LLP, on Tuesday, November 5, 2024
Editor's Note:
James R. Burns, Brant Brown, and Robin M. Bergen are Partners at Cleary Gottlieb Steen & Hamilton LLP. This post is based on a Cleary Gottlieb memorandum by Mr. Burns, Mr. Brown, Ms. Bergen, Rachel Gerwin, Anna Bintinger, and Ben Rosenblum.
The U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its 2025 examination priorities on October 21, 2024 (the “2025 Priorities”). The 2025 Priorities highlight a wide range of topics for entities subject to SEC examinations, particularly investment advisers and broker-dealers. The topics should be very familiar, as they largely continue recent focus areas for not only the Examinations Division but also the Enforcement Division.
