Insights & Regulatory Updates

Unpacking the SEC’s 2025 Examination Priorities: What’s on the Horizon for Investment Advisers, Broker-Dealers, and the Financial Sector
Anderson Insights K. Braeden Anderson Anderson Insights K. Braeden Anderson

Unpacking the SEC’s 2025 Examination Priorities: What’s on the Horizon for Investment Advisers, Broker-Dealers, and the Financial Sector

With the dawn of a new fiscal year, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations has unveiled its 2025 examination priorities. This annual roadmap serves as both a warning and a guide for firms navigating the ever-evolving regulatory landscape. The 2025 priorities not only highlight long-standing risk areas like fiduciary duty and cybersecurity, but also shine a spotlight on cutting-edge issues such as artificial intelligence and the growing complexities surrounding crypto assets.

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