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IAA Statement on the 2026 SEC Exam Priorities

November 18, 2025

Contact: IAA VP of Communications & Marketing Janay Rickwalder

The Investment Adviser Association appreciates the SEC’s transparency in publishing its 2026 Examination Priorities, which, though not required, are highly useful to advisers and their compliance efforts. The high-level focus remains consistent across three themes: adherence to fiduciary duty, compliance program effectiveness, and oversight of newly registered or never examined advisers. For 2026, the SEC places additional focus on complex and alternative products, operational and third-party risks, compliance with new data privacy requirements (Reg S-P), M&A/consolidation events, dual-registrant conflicts, and emerging technologies such as automated investment tools and AI. We welcome the publication of these priorities and remain committed to working with the SEC to strengthen compliance and protect investors.

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