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!

Blockchain to Revolutionize Pakistan’s Land Management

In the heart of Pakistan's bustling cities and sprawling rural landscapes lies a persistent challenge that has long stifled economic growth and social stability: land management. Amidst these challenges, blockchain technology emerges as a promising solution. Known for its secure and transparent nature, blockchain could revolutionize land management in Pakistan by ensuring clear and immutable land titles.

By |February 14, 2025|Categories: Article, Blockchain Technology, Land Management|Tags: , |0 Comments

Ocean City Council Enacts New Short-Term Rental Restrictions

In a decisive move, the Ocean City Council has approved new restrictions on short-term rentals, despite opposition from over 200 residents. The council's decision came after a comprehensive review of community concerns and potential impacts on local neighborhoods.

Redefining D.C.: A City of Dual Perceptions and Meaningful Work

While the term "swamp" has been used pejoratively to describe the political landscape of the capital, many who reside and work there see it as a place where significant contributions to society are made.

By |February 13, 2025|Categories: Article, Politics, Society|Tags: |0 Comments

Addressing America’s Housing Crisis: Efforts and Challenges under the Biden Administration

The Biden administration has made significant federal investments in affordable housing, yet the U.S. still faces a 4.5 million home shortage, underscoring the critical nature of the crisis.

The Future of Real Estate: Technology’s Transformative Impact by 2025

Several cutting-edge technologies are poised to revolutionize how properties are bought, sold, rented, and managed.

By |February 13, 2025|Categories: Article, Real Estate, Technology|Tags: , |0 Comments

India’s Real Estate Revolution: Growth, Opportunities, and Technological Transformations

India's real estate sector is experiencing remarkable growth, mirroring the country's ascending economic strength.

By |February 13, 2025|Categories: Article, Economic Development, Real Estate|Tags: , |0 Comments