Division of Exams’ Priorities

This is the DOE's priorities for FY 2025

This is the SEC's Division of Examinations' 2024 exam priorities, released in October 2023

This is the DOE's 2023 exam priorities

We hope that firms' leadership, including those in compliance, legal, risk, and information security, across the financial services industry will review the priorities and consider ...

"We continue to believe it is important to emphasize that compliance programs, CCOs and other compliance staff play critically important roles at firms .... One ...

SEC states chief compliance officers, and other compliance staff play critically important roles at firms

This is OCIE's exam priorities for 2019.

It is our privilege to share with you the 2018 examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities ...

This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.