The regulator plans to probe the reasoning behind product selection, conflict management and disclosure practices as complex investments gain weight on retail investor portfolios.
The US Securities and Exchange Commission (SEC)’s Division of Examinations has released its 2026 examination priorities, setting the tone for where regulatory focus will intensify in the year ahead. Examinations are an important component to accomplishing the agency’s mission, but they should not be a ’gotcha’ exercise - Paul S. Atkins, SEC A central emphasis of the 2026 priorities is the SEC’s concern about the growing prevalence of complex, alternative and hig