Event of Interest: SEC Regional Office to Host Compliance Outreach Seminar
On Tuesday, June 16 at 9:15am ET, the Securities and Exchange Commission (SEC) New York Regional Office plans to host a virtual compliance outreach seminar for investment advisers and investment companies. The SEC Examinations and Enforcement teams plan to touch on a variety of topics including:
- Examination process
- 2026 examination priorities
- Common deficiencies that have been found in recent examinations
- Private funds
- Topics involving advisers and mutual funds
- Evaluation of compliance programs
- New registrant exams
In addition, SEC staff will also be taking questions from seminar participants which must be submitted ahead of time.
Click here for more information and to register for the virtual compliance outreach seminar.
Click here to view the 2026 examination priorities.