As the Division of Examinations of the Securities and Exchange Commission (SEC) unveiled its 2025 examination priorities, a broad spectrum of issues for registered investment advisers, investment companies, and broker-dealers comes into focus. Published on October 21, 2024, this document underscores significant themes expected to resonate throughout the upcoming year.


The priorities, while reflecting potential shifts due to the changing presidential administration, maintain steadfast core areas, suggesting continuity in enforcement actions. A comprehensive review highlights the Division’s focus on private fund advisers, cybersecurity, and the utilization of artificial intelligence, emphasizing long-standing commitments alongside new regulatory amendments.


Investment Advisers

For investment advisers, the SEC will enhance oversight on those who have never undergone an examination or have been recently registered. Key review components will include fiduciary standards, compliance programs, and private fund advisers, particularly in volatile markets like commercial real estate and crypto assets.


Broker-Dealers

Broker-dealers will be scrutinized regarding Regulation Best Interest (Reg BI) and Form CRS obligations. The focus will be on assessing the alignment of broker-dealer practices with customer interests, especially concerning complex and high-risk products.


Risk Areas and Technology

Cybersecurity remains a cornerstone in the SEC’s examination strategy, ensuring entities have robust governance and protection measures. Similarly, the rise of artificial intelligence and its integration into financial services draws sharp scrutiny to ensure compliance and mitigate potential risks.


In conclusion, while the 2025 examination priorities from the SEC provide a roadmap for regulatory focus, they also serve as a vital tool for entities to self-evaluate and reinforce their compliance frameworks against potential risks, safeguarding investors and market integrity.


For more information, view the full article on Stinson LLP’s website.


Authored by Eric Mikkelson & Carissa Occhipinto, Stinson LLP

More Articles

Getting licensed or staying ahead in your career can be a journey—but it doesn’t have to be overwhelming. Grab your favorite coffee or tea, take a moment to relax, and browse through our articles. Whether you’re just starting out or renewing your expertise, we’ve got tips, insights, and advice to keep you moving forward. Here’s to your success—one sip and one step at a time!

Unveiling Pandemic’s Unequal Educational Impact Across Communities

The research, which encompasses data from 8,000 communities across 40 states and Washington, D.C., paints a stark picture of how school closures and local conditions have exacerbated educational inequalities. The findings reveal that the location where children lived during the pandemic had a more significant impact on their academic progress than factors such as family background, income, or internet speed.

The Revolution of Real Estate Investing through Innovative Apps

Real estate investing, often perceived as a domain reserved for those with deep pockets and significant time, is now within reach for the average retail investor. Thanks to innovative apps, individuals can now participate in real estate markets without the burdens of direct property management.

The Hidden Cost of Education: How State Funding Cuts Widen the Gap

The consequences of these funding cuts are far-reaching. Rising tuition costs deter students from enrolling, particularly those from underrepresented communities.

Navigating the Top Online Real Estate Schools of 2025

In a world where education is rapidly shifting online, finding the right real estate school can be a daunting task. Recently, Investopedia conducted an in-depth analysis of the best online real estate schools for August 2025, considering a variety of factors to determine which schools stand out in this competitive field.

By |August 8, 2025|Categories: Article, Education, Real Estate|Tags: , |0 Comments

Navigating California’s Online Real Estate Education: Top 5 Schools for 2025

In the bustling and ever-evolving landscape of California's real estate market, aspiring agents are increasingly turning to online education to meet the state's rigorous requirements.

By |August 7, 2025|Categories: Article, Education, Real Estate|Tags: , |0 Comments

Navigating the Future: 2025 Trends in American Higher Education

The sector is navigating through a myriad of challenges and opportunities that are poised to reshape its future. Institutions are urged to reassess their financial models and align resources with their core missions.

By |August 7, 2025|Categories: Article, Education, Finance|Tags: , |0 Comments