The SEC’s 2026 Exam Priorities: What To Know And How To Prepare скачать в хорошем качестве

The SEC’s 2026 Exam Priorities: What To Know And How To Prepare

Todd Spillane, President, and Sander Ressler, Co-Owner & Managing Director of Essential Edge Compliance Outsourcing Services, presented a webinar on the SEC’s 2026 exam priorities hosted by WSR’s Editor in Chief, Julius Buchanan. Ressler and Spillane addressed the shifting needs of broker-dealers and RIAs in light of the SEC’s announced priorities for 2026, as well as FINRA’s current approach and priorities, covering a broad array of subjects including what’s new for 2026, how the SEC is approaching AI, cybersecurity and technology; retail protection, including the elderly; fiduciary standards and Regulation Best Interest; and more. This video is published under WSR’s partner program. For more information on how to participate in the partner program, contact zack.drew@wealthsolutionsreport.com. Views expressed are the author’s and do not necessarily reflect the views of WSR.