The Securities and Exchange Commission, through its National Examination Program, has published its examination priorities for 2013. They include both market-wide topics, as well as issues specific to broker-dealers, clearing agencies, exchanges, self-regulatory organizations, investment companies, and private funds. Activities now allowed by the JOBS Act will also spark some specific reviews.
Broad priorities include fraud detection and prevention, corporate governance and enterprise risk management, conflicts of interest, and technology controls. Those efforts include:
