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!

Revolutionizing Real Estate: The Future of Open Houses with Virtual Tours, AR, and Hybrid Models

Today's homebuyers and sellers expect more than just a traditional open house. They want convenience, personalization, and seamless experiences — whether attending in person or exploring online.

By |March 28, 2025|Categories: Article, Real Estate, Technology|Tags: , |0 Comments

Auction.com Releases 2025 Distressed Market Outlook: Predicts 8% Decrease in Foreclosure Volume

The Auction.com marketplace provides rich, real-time data on supply, demand, and pricing for distressed properties sold at auction nationwide. This data is crucial for forecasting trends in the retail housing market.

By |March 27, 2025|Categories: Article, Market Analysis, Real Estate|Tags: , |0 Comments

Unveiling the Future: Key Tech Trends Shaping 2025 and Beyond

As we look toward 2025, the tech landscape is brimming with potential. Generative AI is expected to dominate, reshaping industries through its ability to create highly sophisticated and human-like content. Meanwhile, Quantum Computing is poised to revolutionize industries by solving complex problems intractable for traditional computers.

Top 10 Investments for 2025: Navigating Market Volatility with Diversified Strategies

In the unpredictable world of investing, where market volatility can feel like a roller coaster ride, focusing on proven, diversified investments is more crucial than ever.

Revolutionizing Real Estate: 17 Indispensable AI Tools for Real Estate Professionals

Artificial Intelligence (AI) is proving to be a game-changer in the real estate industry. AI tools are enhancing the capabilities of real estate professionals by streamlining operations and improving client interactions.

By |March 26, 2025|Categories: Article, Artificial Intelligence, Real Estate|Tags: , |0 Comments