(Washington)
Every year around this time, advisors can get a special look at what the SEC’s policy priorities are likely to be for the rest of the year. This takes on special significance this year since we have a new administration in place. The way to get the insight is to look at what focus the SEC applies to their regulatory exams, and this year they are quite interesting. SEC exams for 2021 will focus on Reg BI (not such a surprise), but also climate, ESG, and Crypto, among other topics.

FINSUM: Quite an interesting list, but one very notable absence: meme stocks/social media. This is important because some think the SEC will turn its gaze to that area, which might have delayed focus on Reg BI.