SEC Division of Examinations’ 2021 Priorities Track and Advance 2020 Priorities

The SEC’s Division of Examinations (Division) recently published its 2021 Examination Priorities, marking the ninth year the Division has published its priorities. Five priorities have appeared in each of the past three years, including retail investors – the perennial top priority; market infrastructure; FINRA and the Municipal Securities Rulemaking Board; cybersecurity/information security; and anti-money laundering. As in 2020, this year’s priorities also include financial/regulatory technology and digital assets; concerns relating to investment advisers and investment companies; and issues surrounding broker-dealers and municipal advisers. Finally, the Division has added a ninth priority focused on the transition away from the London Interbank Offered Rate. This article explores this year’s priorities and the expansive introduction by the Division’s top officials. See our coverage of the Division’s 2020 Priorities; 2019 Priorities; 2018 Priorities; 2017 Priorities; and 2016 Priorities.

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