In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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SEC staff summarized the activities of the Fixed Income Market Structure Advisory Committee over the past year.
The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.
The SEC Office of the Investor Advocate released an Annual Report on Objectives for fiscal year 2018.
The SEC's Office of Compliance Inspections and Examinations ("OCIE") identified key areas of risk in its Examination Priorities for 2016. These include protecting retail investors, assessing market-wide risks and using data analytics to find illegal activity.