ComplianceAlert

The Hidden Messages within the SEC’s 2026 Exam Priorities

The SEC’s 2026 Examination Priorities report (“Exam Priorities”) from the Division of Examinations (the “Division”) was issued shortly after the federal government reopened. You may have received information on the report’s details and reviewed the SEC’s exam focus areas. We have taken the time to read between the lines and interpret the hidden messages within the Exam Priorities. Here we provide you a different take on what will really happen in 2026. 2026 SEC Exams…

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Reg S-P sweep exams underway (Financial Advisor IQ)

The SEC seems intent on ensuring compliance with its updated Reg S-P Rule. The Financial Advisor IQ story discusses a sweep exam occurring via a source’s confirmation of an SEC request for its firm’s undertakings to comply with the Reg S-P amendments. Amy Lynch, FrontLine’s Founder and President, comments that sweep exams occurring this quickly are not a surprise considering firms had ample time to prepare, but may have been anticipating a postponement of the…

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