On March 30, 2022, the Securities and Exchange Commission’s Division of Examinations (DOE) announced its examination priorities for 2022 (2022 Examination Priorities), available at https://www.sec.gov/files/2022-exam-priorities.pdf. Examination priorities, which are released annually, provide investors and registrants with transparency into those areas that DOE believes bring heightened risks to investors, registrants, and the markets.
In fiscal year 2021, DOE completed 3,040 examinations. It issued more than 2,100 deficiency letters (approximately 70% of all examinations) and made more than 190 referrals to the Division of Enforcement (approximately 6% of all examinations).
Want to continue reading?
Become an ALM Digital Reader for Free!
Benefits of a Digital Membership
Already have an account? Sign In Now
*May exclude premium content