On November 17, the SEC’s Division of Examinations published its 2026 examination priorities, outlining key areas of regulatory focus for the upcoming year. For 2026, the division stated it would focus on: (i) compliance with new and amended rules, including the 2024 amendments to Regulation S-P, which requires written incident response programs and timely notification of unauthorized access to customer information; (ii) enhanced information security, including identity theft prevention, oversight of third-party vendors, and safeguards for customer data; and (iii) firms’ progress in preparing for new privacy and incident response requirements, with examinations after compliance dates to assess implementation of appropriate policies and procedures.

The SEC will also prioritize reviews of emerging financial technology, such as automated investment tools, AI, and trading algorithms, as well as the integration of regulatory technology to automate internal processes. The 2026 priorities provided that examinations of registered security-based swap execution facilities would begin — focusing on trade monitoring, risk analysis, and operational risk oversight. Unlike the SEC’s 2025 exam priorities, the 2026 priorities do not specifically reference crypto assets or digital asset-related products and services as a standalone area of focus.