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!

Technological Advancements Reshaping Real Estate Towards 2025

In a rapidly evolving world, technology is poised to redefine the real estate landscape by 2025. Embracing these innovations will be crucial for industry stakeholders to remain competitive and meet the evolving expectations of modern consumers.

By |June 25, 2025|Categories: Article, Real Estate, Technology|Tags: , |0 Comments

The Journey and Significance of Becoming a Certified Financial Planner (CFP)

The journey to becoming a CFP is challenging but rewarding, offering professionals the opportunity to make a significant impact on their clients' financial well-being.

Discovering the Top Online Real Estate Courses in New York for 2025

In an era where digital learning is reshaping education, aspiring real estate agents in New York have a wealth of options at their fingertips. HousingWire's recent article highlights the top programs that cater to diverse learning styles and schedules, ensuring success in the state's rigorous licensing exam.

By |June 25, 2025|Categories: Article, Education, Real Estate|Tags: , |0 Comments

The Rise of Online Learning: Forbes’ Top 10 Online Colleges for 2025

In the ever-evolving landscape of higher education, online learning has steadily gained traction since its inception in the 1990s, emerging as a flexible and accessible option for students worldwide.

By |June 24, 2025|Categories: Article, Education, Online Learning|Tags: , |0 Comments

Launch Your Real Estate Career in Alaska with The CE Shop’s Pre-Licensing Course

"The real estate market in Alaska is gaining momentum, making it an opportune time to embark on a career in real estate."

Selecting the Most Effective Tax Software for 2025

As tax season approaches, taxpayers are faced with the daunting task of selecting the most effective software to handle their financial filings. With a myriad of options available, Forbes Advisor steps in to provide a comprehensive guide for choosing the best tax software of 2025.

By |June 24, 2025|Categories: Article, Finance, Technology|Tags: , |0 Comments