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!

Massive Chicago Real Estate Auction: 800 Properties Up for Grabs After Bankruptcy

More than 800 properties in Chicago are set to go under the hammer after the city’s notorious landowner declared bankruptcy. This auction, one of the largest land sales in recent years, is a direct result of a legal battle that has captivated the real estate community.

2025 Housing Market Predictions: Opportunities and Challenges Ahead

The Federal Reserve's recent rate cuts have sparked hope for a slight easing in mortgage rates, which could provide some relief for potential homebuyers. However, the persistent rise in home prices means that affordability remains a significant challenge.

By |April 4, 2025|Categories: Article, Housing Market, Mortgage Rates|Tags: |0 Comments

Major Landlords in Utah Face Expanded Antitrust Lawsuit

In a significant development that could impact renters across Utah, an antitrust lawsuit has been expanded to include some of the nation's largest landlords managing over 100 multifamily rental buildings in the state. This lawsuit, originally filed by the U.S. Department of Justice along with eight other states, accuses RealPage Inc. of violating antitrust laws by collaborating with landlords to suppress competition in apartment pricing.

By |April 3, 2025|Categories: Article, Legal, Real Estate|Tags: , |0 Comments

2025 Housing Market: Easing Rates and Shifting Trends

The Federal Reserve's decision to cut rates has provided a glimmer of hope, potentially easing mortgage rates and improving affordability. However, as experts like Molly Grace point out, prices are unlikely to drop significantly.

By |April 3, 2025|Categories: Article, Economics, Real Estate|Tags: , |0 Comments

64 Sustainability Certifications to Advance Your Career in 2025

In the ever-evolving landscape of sustainability, professionals are increasingly seeking ways to distinguish themselves in a competitive job market. One promising avenue is through professional certifications, which serve as a testament to one's expertise and commitment to the field. According to a recent article by Trellis Group, the number of available sustainability certifications has surged, offering a diverse range of opportunities for career advancement. The article, titled "64 Sustainability Certifications to Advance Your Career in 2025," highlights the growing trend of standardization and specialization within the sustainability sector.