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!

Navigating Online Real Estate Education with Investopedia’s Comprehensive Review

Investopedia has embarked on a comprehensive journey to evaluate online real estate schools, aiming to guide both aspiring and current real estate professionals in selecting the best educational options.

Not Music to the Ears: How Spotify’s Algorithms Are Changing Art Itself

Spotify, the Swedish audio streaming giant, is under scrutiny for its impact on the music industry. As detailed in Liz Pelly's critical examination, "Mood Machine: The Rise of Spotify and the Costs of the Perfect Playlist," Spotify's algorithms are reshaping music consumption by prioritizing passive listening over artistic creativity. This shift has significant implications for musicians and the future of music as a whole.

By |June 1, 2025|Categories: Article, Digital Privacy, Music Industry|Tags: |0 Comments

President Trump’s Return: A Flurry of Executive Orders in 2025

President Donald J. Trump, inaugurated as the nation's 47th president on January 20, 2025, wasted no time in fulfilling his campaign promises with a series of executive orders on immigration, trade, energy, and federal workforce policies.

By |May 31, 2025|Categories: Article, Politics, Public Policy|Tags: , |0 Comments

Indiana to Adopt New Bar Exam Format in 2028

Indiana is set to transition to a new bar examination format in July 2028, as announced by the National Conference of Bar Examiners (NCBE). This change marks a significant shift from the current Uniform Bar Examination, which the state has utilized since 2021.

By |May 31, 2025|Categories: Article, Education, Law|Tags: , |0 Comments

Laura Elleby: From Medical Sales to Luxury Real Estate Visionary

In the realm of real estate, adaptability and tenacity are essential traits for success, as exemplified by Laura Elleby's remarkable journey. Transitioning from a career in medical device sales to the luxury real estate sector, she has leveraged her skills and determination to become a leading figure in the industry.

Making Homeownership a Reality: First-Time Home Buyer Grants

In a world where the dream of owning a home often seems just out of reach, first-time home buyer grants are emerging as a beacon of hope.

By |May 30, 2025|Categories: Article, Personal Finance, Real Estate|Tags: , |0 Comments