Exams & Exam Priorities | Fairview Investments

News & Insights: Exams & Exam Priorities

SEC's 2026 Exam Priorities: What Areas Will Examiners Focus On

On November 17, 2025, the SEC’s Division of Examinations (“EXAMS”) published its 2026 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and these annual priorities highlight practices and products viewed by EXAMS as presenting heightened risks to investors and the markets overall.

CyberSecurity
07 Jul, 2026

SEC Request Letter Could Signal Reg S-P Sweep

A recent SEC document request letter could be indicative of a long-predicted sweep of firms for the SEC to evaluate compliance with Amended Regulation S-P, according to at least one news outlet. Thirty items gleaned from a new SEC document request letter focus on cybersecurity protections and breaches.

3 Compliance Trends RIAs Should Watch in 2026

2026 will be one of constant changes for the SEC and regulatory professionals. As you surf these waves of change, here are three key predictions for Compliance Programs in 2026 to help keep you afloat.

SEC’s 2026 Exam Priorities: What Areas Will Examiners Focus On

CCO Charged for Altering Records Provided in SEC Examination

On July 15, 2025, the SEC announced settled charges against a CCO of a registered investment adviser for altering records and producing fictitious records in response to SEC examination requests for information.

SEC Examination Lessons for Form ADV

It is that time of the year again, annual ADV amendment filing season. For firms with a December 31, 2024, fiscal year-end, the ADV is due on March 31, 2025.

SEC
21 Jan, 2025

Trump Administration Initiates Regulatory Freeze on Pending Rules

In a memorandum released by the White House on Monday, President Trump ordered all government agencies to cease all proposals or issuance of any new rules and to withdraw any unpublished rules that have been sent to the Office of the Federal Register but have yet to be published in the Federal Register.

2025 Examination Priorities Published by SEC Division of Exams

On October 21, 2024, the SEC’s Division of Examinations (“EXAMS”) published its 2025 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and this fiscal year marks the 30th anniversary of the creation of the Division of Examinations, originally established as the Office of Compliance Inspections and Examinations.

Artificial Intelligence
21 Nov, 2023

SEC AI Sweep Exams

Artificial intelligence (“AI”) sweep exams may be on the horizon for 2024. An examination document reviewed by Ignites stated that the SEC asked at least one firm to provide information regarding its AI policies and procedures.

CyberSecurity
23 Oct, 2023

SEC Cyber Oversight 2024 Exam Priorities

On October 16th, 2023 the SEC Division of Examinations announced its 2024 exam priorities. The 2024 examination priorities allows investors and registrants to be aware of key risks, examination topics, and priorities of the Division in the upcoming year.

Exams & Exam Priorities
17 Oct, 2023

What the SEC Plans for Next Year: 2024 SEC Examination Priorities Are Already Published

On October 16, 2023, the SEC’s Division of Examinations (“EXAMS”) published its 2024 Examination Priorities. These annual priorities highlight certain practices, products, and services that present potentially heightened risks to investors or the integrity of US capital markets.