SEC’s Division of Examinations Announces 2027 Examination Priorities

The annual roadmap largely builds on prior themes while adding emphasis on areas such as economic conflicts and foreign omnibus accounts.

By Laura Ferrell, Aaron Gilbride, Mike Hart-Slattery, Jennifer Y. Tian, Jamie Lynn Walter, Meghan Carey, Naim Culhaci, and Haoyu Gu

On October 23, 2026, the Securities and Exchange Commission’s (SEC’s) Division of Examinations announced its examination priorities for fiscal year 2027 (the Examination Priorities). The Examination Priorities have a similar structure and share core themes with the fiscal year 2026 examination priorities, but include additional emphasis on certain practices and emerging risks.

This Client Alert focuses on the key priorities most relevant to investment advisers, registered investment companies, broker-dealers, and certain other market participants.

Read the full Client Alert.