Annually, the SEC's Division of Examinations unveils its Exam Priorities, a crucial resource for individuals in SEC-regulated firms. This document provides valuable insights into emerging trends, areas of concern, and compliance gaps based on recent examinations. Released in October 2023, just eight months after the previous year's version, the 2024 Exam Priorities maintain a focus on key themes such as cryptocurrency, the new Marketing Rule, and retail investor protections.

In this overview, we distill the essential highlights and draw on insights from our compliance consultant network to guide your firm in exceeding compliance expectations for the upcoming year.

Download the TipSheet today to learn more.

Compliance Code: 3 2 4 6, Orion Advisor Technology, December 6, 2021