The Securities and Exchange Commission (SEC) released its 2022 examination priorities Wednesday, providing investment firms, broker-dealers, and other registrants a breakdown of what issues the Division of Examinations will focus on this year.
The Division of Examinations (formerly the Office of Compliance Inspections and Examinations, or OCIE) publishes its examination priorities annually “to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets,” the SEC stated.
