Each year, the SEC issues its examination priorities. For 2021, priorities include:

• Retail Investors, Including Seniors and Individuals Saving for Retirement
• Information Security and Operational Resiliency
• Financial Technology (FINTECH) and Innovation, Including Digital Assets
• Anti-Money Laundering
• The London Inter-Bank Offered Rate (LIBOR) Transition
• Additional Focus Areas Involving RIAS and Investment Companies
• Additional Focus Areas Involving Broker-Dealers and Municipal Advisors
• Market Infrastructure
• Focus on FINRA and MSRB
  
   

Links

• 2021 SEC Examination Priorities