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!

Exploring the Best Online Real Estate Schools for May 2025

The CE Shop has emerged as the best overall online real estate school. Known for its reasonable fees, extensive state availability, and comprehensive educational resources, The CE Shop boasts a high pass rate of nearly 62%, according to the Texas Real Estate Commission (TREC). This institution provides a robust bank of practice questions to support exam preparation.

By |May 10, 2025|Categories: Article, Education, Real Estate|Tags: , |0 Comments

Exploring the Top Entry-Level Jobs of 2025: No Experience Required

In a rapidly evolving job market, the demand for positions that require little to no experience is on the rise. According to a recent article published by Money Crashers on December 31, 2024, there are numerous opportunities for those seeking immediate employment without extensive educational qualifications or prior job experience.

Empowering the Firearm Industry: A Commitment to Compliance and Safety

The National Shooting Sports Foundation (NSSF), the firearm industry trade association, has announced a series of free online webinars aimed at enhancing compliance and safety within the industry.

Boosting Broker Efficiency: A Guide to Faster Closings

Faster closings enhance business operations and significantly improve client satisfaction and retention. Brokers who can close deals swiftly are better positioned to thrive in 2025.

By |May 9, 2025|Categories: Article, Business Strategy, Real Estate|Tags: , |0 Comments

SEC’s 2025 Examination Priorities: Preparing for Transformative Financial Regulation

In a significant move, the Securities and Exchange Commission's (SEC) Division of Examinations has unveiled its 2025 examination priorities, setting the stage for what could be a transformative year in financial regulation. The release, dated October 21, 2024, aims to guide registered investment advisers, investment companies, and broker-dealers on the areas of focus during upcoming examinations.

Investopedia Reveals Top Online Real Estate Schools for 2025

The CE Shop boasts a high pass rate of nearly 62%, as reported by the Texas Real Estate Commission (TREC), along with a vast array of practice questions to aid in exam preparation.