Key Takeaways From SEC's 2022 Exam Priorities

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By Kristin Snyder, Julie Riewe and Robert Kaplan (April 12, 2022, 4:50 PM EDT) — On March 30, the U.S. Securities and Exchange Commission’s Division of Examinations released its 2022 examination priorities.[1]

The division’s ambitious exam agenda spans virtually the entire spectrum of the securities markets, encompassing areas such as private funds; environmental, social and governance, or ESG, investing; retail investors and working families; fintech; and crypto-assets.

While the 2022 priorities provide a comprehensive overview of topics that the division will be examining, they also offer registrants insight into the focus areas that will be top of mind for the division during 2022 examinations.

Priority Targets and Enforcement Referral Trends

One of the most important insights…

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