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The SEC 2026 exam priorities signal exactly where the Division of Examinations plans to direct its resources this fiscal year. If you run or lead a financial firm, the list reads like a checklist you should already be working through.

If you run an RIA and manage less than $1.5 billion in assets, this Reg S-P compliance checklist for RIAs covers what you need before the deadline on June 3, 2026.