The Securities and Exchange Commission has released its list of examination priorities for 2014, detailing where they want to devote the most energy in the various sectors that they regulate. In general, the commission wants to focus on fraud detection and prevention, corporate governance and enterprise risk management, technology controls, issues posed by the convergence of broker-dealer and investment adviser businesses and by new rules and regulations, and retirement investments and rollovers.
When broken down by specific areas, the SEC's priorities are: