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!

Investopedia’s Comprehensive Guide to the Best Online Real Estate Schools

"Investopedia has undertaken a comprehensive analysis to guide aspiring real estate professionals to the best online real estate schools. This initiative is part of their commitment to providing accurate and reliable information for those looking to become licensed real estate professionals."

By |June 29, 2025|Categories: Article, Education, Real Estate|Tags: , |0 Comments

Exploring the New Era of Real Estate Investing: Online Platforms Revolutionize Accessibility

In an era where traditional real estate ownership often requires substantial time and capital, online real estate platforms have emerged as a revolutionary alternative, allowing the average retail investor to participate in the real estate market without the burdens of property management.

Harnessing AI for Superior Negotiation Preparation

In an era where artificial intelligence is redefining the landscape of negotiation preparation, professionals across various sectors are leveraging AI as a powerful ally.

Top Online Real Estate Schools in Florida: Your Guide for 2025

In the ever-evolving landscape of real estate education, Florida stands out with its robust offerings in online real estate schools. With the flexibility and comprehensive nature of these programs, aspiring real estate agents can now embark on their journey with ease and confidence.

Harnessing User-Generated Content: A Vital Tool for Modern Marketers

User-generated content (UGC) is not just a trend but a vital tool in building trust, fostering community, and enhancing authenticity in brand messaging.

15 Tips for Creating a Successful Mobile App in 2024

In today's digital landscape, the competition in the mobile app market is fierce, with over 3.5 million apps on Google Play and 1.6 million on the Apple App Store. Netguru's guide offers essential insights into creating mobile applications that are not only attractive but also user-friendly and successful.