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!

Laura Stumm: A Powerhouse in Real Estate

Laura Stumm stands as a beacon of expertise and leadership, playing a pivotal role in Newmark's Capital Markets practice. Over her career, she has overseen transactions exceeding $18 billion, cementing her reputation as a formidable force in the sector.

By |August 31, 2025|Categories: Article, Leadership, Real Estate|Tags: , |0 Comments

2025’s Best Online Real Estate Schools in California

In an ever-evolving real estate landscape, finding the right educational platform to kickstart your career is crucial. As we look towards 2025, prospective real estate agents in California have a plethora of options to choose from, each catering to different budgets, learning styles, and career goals.

Your Lifestyle Choices: The Strongest Defense Against Heart Disease

In the ongoing battle against heart disease, your lifestyle choices stand as your most formidable ally. This is the central message from a recent article published by the American Heart Association. The piece outlines a comprehensive guide to reducing risk factors associated with heart disease, heart attacks, and strokes.

By |August 30, 2025|Categories: Article, Health, Lifestyle|Tags: , |0 Comments

Unveiling Racial Discrimination in Long Island’s Real Estate

Over a span of three years, undercover testers revealed that real estate agents were engaging in practices that resulted in unequal treatment of minority homebuyers.

By |August 29, 2025|Categories: Article, Racial Discrimination, Real Estate|Tags: |0 Comments

Exploring the Top Real Estate Lead Generation Companies for 2025

In a rapidly evolving real estate landscape, the quest for effective lead generation has become a pivotal concern for industry professionals.

By |August 29, 2025|Categories: Article, Real Estate, Technology|Tags: , |0 Comments

Navigating Real Estate Commission Changes: A New Era for Homebuyers

Prospective homebuyers embarking on their journey this fall will encounter a new landscape in real estate commissions. The changes, implemented in August, mark a significant shift for the housing industry, brought about by the National Association of Realtors' settlement of multiple lawsuits regarding agent commissions.