The SEC's New York Regional Office (NYRO) will host a virtual compliance outreach seminar for investment advisers and investment companies in the New York area. The event will take place on Tuesday, June 16, 2026, beginning at 9:15 a.m. Eastern. The event is free and open for the public to attend. Registration is not required.
{expires: 2026-06-17}
Monday, June 15. 2026
SEC to Hold Compliance Outreach Seminar for New York-Based Investment Advisers and Investment Companies
The event will feature industry experts that will present the following panels:
- Overview of the Division of Examinations and the Exam Process
- FY 2026 Exam Priorities
- Division of Enforcement Priorities and Update
- Common Deficiencies
- Private Funds
- Evaluation of Compliance Programs
- New Registrant Exam
For more information, including the list of event speakers and how to submit questions, please see the event’s webpage on sec.gov.
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