2025SEC’s FY 2025 Examination Priorities: What It Means for Investment Advisers and Broker-Dealers
Introduction: Why SEC’s Examination Priorities Matter Globally The U.S. Securities and Exchange Commission (SEC) recently released its FY 2025 Examination Priorities, outlining the key focus areas where it intends to allocate its enforcement and supervisory resources over the coming year. These priorities serve as a critical guide for registered investment advisers (RIAs), broker-dealers, and other...