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!

The Legacy of Earnings: A Look at the Highest-Paid Dead Celebrities of 2024

In a world where legacy often outlives the individual, the financial prowess of deceased celebrities continues to captivate the public’s imagination. Forbes recently unveiled its list of the highest-paid dead celebrities of 2024, spotlighting figures whose posthumous earnings have not only sustained but thrived through strategic estate management and lucrative licensing deals.

By |June 4, 2025|Categories: Article, Business/Economy, Entertainment|Tags: |0 Comments

The Role of Zoning Laws in Housing Affordability

As the nation continues to wrestle with the persistent issue of housing affordability, zoning laws have come under the spotlight as potential barriers or facilitators in the quest for more accessible housing.

65 Expert Predictions on AI’s Impact on Law by 2025

"In a revealing glimpse into the future, The National Law Review has published a comprehensive article outlining 65 expert predictions on the impact of AI on law and legal practice in 2025. This insightful piece, featuring perspectives from federal judges, startup founders, CEOs, and leaders of AI practice groups at global law firms, delves into the anticipated regulatory developments and technological advancements poised to reshape the legal sector."

The Strategic Benefits of Forming an LLC for Rental Properties

Landlords are increasingly turning to Limited Liability Companies (LLCs) as a strategic move for managing rental properties, offering significant tax benefits and enhanced liability protection.

Shaping AI’s Future: The Crucial Role of Human Governance

"AI's impact is not predetermined by technology alone but is deeply influenced by human choices and governance. As Dhar emphasized, 'It depends on us.'"

Florida Graduates: Stories of Triumph and Ambition

With graduation season in full swing, many seniors from Florida universities are not only celebrating academic achievements but also personal milestones.

By |June 3, 2025|Categories: Article, Education, Personal Achievement|Tags: , |0 Comments