SEC exams help protect investors by promoting compliance before problems become violations.

Alongside transparent rulemaking, clear expectations, and consistent application of securities laws, our FY27 priorities will strengthen market integrity & reinforce investor confidence.

TODAY 🚨: The SEC is announcing the Division of Examinations’ FY2027 examination priorities.

The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud, identify and monitor risk, and inform SEC policy.

The priorities were developed in coordination with divisions and offices across the SEC and reflect examination observations, market developments, investor concerns, industry engagement, and emerging trends affecting the U.S. capital markets.

Read the full report below ⬇️ sec.gov/newsroom/press…

This week, Brian Daly, Director of the SEC’s Division of Investment Management, joined Brooke Masters for a fireside chat at the Financial Times Future of Asset Management North America conference to discuss the Commission’s efforts around “responsible retailization” – expanding ssets for retail investors while maintaining the guardrails that underpin fair and resilient markets.

“[The SEC’s efforts are] about incenting advisors to bring alternative exposures to the retail market in a way that makes sense.”

The SEC's Office of Data Standards and Innovation in the Division of Economic and Risk Analysis is hosting a roundtable, Machine-Understandable Data In the Age of Super Intelligence, on Monday November 9, 2026.

See the link below for details. sec.gov/newsroom/press…

🚨 NEW EP: Material Matters with @SECPaulSAtkins & SEC Enforcement Director David Woodcock

“We want to be credible, visible, & vigorous. But we also want to be aligned with the larger priorities. We want to make sure that what we're doing is not squashing innovation.”

🔗 BELOW

Topics include returning the SEC’s Enforcement program back to the basics, rooting out fraud, holding bad actors accountable, and more.

Listen wherever you get your podcasts ⬇️ sec.gov/newsroom/podca…

Today, I had the pleasure of visiting the Metro Atlanta Chamber's Executive Committee to discuss the work we've advanced at the SEC to strengthen and grow our capital markets.

Under my leadership, we are getting back to first principles and rejecting institutional drift by:

✅ ining our regulatory regime
✅ Reinvigorating capital formation in the U.S.
✅ Delivering much-needed clarity in the digital asset market
✅ Coordinating across regulators

Many thanks to the Metro Atlanta Chamber for hosting and to Jeff Sprecher for a great conversation.

Under the leadership of @POTUS and @SecScottBessent, @USComptroller Jonathan V. Gould is ending the weaponization of finance. Read about the OCC’s supervisory review of debanking activities in its nine largest national banks and its efforts to guarantee fair banking for all /MveW1JnwTH

READ: Commissioner Mark Uyeda's latest in @FinancialTimes ⬇️

"The US Securities and Exchange Commission’s commitment to its mission remains unchanged, despite the departure of my good friend, Commissioner Hester Peirce.

Suggesting that the SEC is 'hastily revamp[ing]' its remaining commissioners can 'have their way' makes for a colourful comparison to fictional dystopian regimes but misleads readers about why the Commission revised its quorum rule and why it’s for the better."

🔗 to the full article in the comments.

Full article link below! ft.com/content/96b09d…

TODAY: The Commission proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions.

The proposed amendments would modernize and expand the cross-trading rule and would allow cross trades that are beneficial to registered funds and their shareholders (by, for example, reducing a fund’s trading costs), subject to enhanced investor protection measures.
sec.gov/newsroom/press…

Relationship investment scams can start with a simple text or DM.

Scammers try to form a friendship with you — before offering a phony investment opportunity. Once the bait is taken, they vanish, along with your money. Talk about a bad friend.

Learn more:
investor.gov/RelationshipSc…

As we head into the 2027 proxy season, the Commission’s 21(a) report reminds asset managers and investors of their responsibilities with respect to shareholder engagement, especially in the context of organized efforts that follow a playbook similar to that of Climate Action 100+.

Shareholders have the right to express their views on a particular topic and explain their voting decisions. Congress has mandated that shareholders, acting individually or as a group, owning more than five percent of a public company must disclose their plans and other information if they seek to change or influence control of the company.

🔗 to the report: sec.gov/files/litigati…

.@SECGov's Division of Examinations Announces New Exam Handbook sec.gov/newsroom/press…

Knowing how to be a resilient investor can help you weather uncertainty, especially in times of market volatility and economic headwinds. Preparing in advance for potential change can help you stay the course.

Learn more: bit.ly/4yDJmdI

Join us for the World Investor Week 2026 Webinar, Smart Investing, Investor Resilience, and the Investor Information Ecosystem, on Tuesday, Oct. 6 at 2 pm Eastern, featuring speakers from the SEC, CFTC, FINRA, and NFA.

No charge to attend; Registration required: bit.ly/4jL1Ioi

Today we kick off World Investor Week.

This year’s campaign focuses on Investor Resilience, Digital Deception, and Scam Alert, helping investors stay disciplined, question what they see online, and protect themselves before acting.

Invest in Your Future. Protect It Today.

#WorldInvestorWeek #WIW2026

investor.gov/additional-res…

World Investor Week starts next week!

Join us October 6-12 as we share investor education tips and resources to help you stay informed and stay protected.

Learn more: investor.gov/additional-res…

The Committee thanks Commissioner Hester Peirce for her years of distinguished service to the SEC.

Throughout her tenure, Commissioner Peirce worked closely with the Committee to help advance efforts to support capital formation and establish a clear regulatory framework for tects consumers and encourages American-led innovation.

We are grateful for Commissioner Peirce’s service and wish her continued success in the years ahead.