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.

Intelligence, benchmarking, and certification for risk and compliance leaders, from the institution setting the standard since 1922.
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.
Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,... More by Jaclyn Jaeger
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