The SEC’s Division of Examinations published its FY2027 examination priorities, naming “super intelligence and other advanced technologies” as an area of scrutiny for the first time. It also listed tokenization among risks tied to changing market infrastructure, alongside Treasury clearing reforms. These are examination priorities, not findings of violations.
The Division said the list is not exhaustive and examiners may review other issues involving compliance with federal securities laws. Its examination program covers more than 34,000 registrants, including investment advisers, broker-dealers and transfer agents.
