The Securities and Exchange Commission (SEC) has outlined its examination priorities for fiscal year 2025, aiming to bolster investor protection and market integrity. These priorities serve as a crucial resource for potential whistleblowers who may witness violations within the financial sector, particularly as the SEC intensifies its focus on areas that pose risks to investors.

The SEC’s Division of Examinations is set to concentrate on both longstanding and emerging risks, including fiduciary duty, standards of conduct, cybersecurity, and the implications of artificial intelligence. The Division plays a vital in maintaining investor trust, and its thorough examinations help ensure compliance with established requirements. The Division’s commitment to educating registrants about these rules is designed to foster a fair marketplace for both investors and issuers.

Keith Cassidy, Acting Director of the Division of Examinations, highlighted that the 2025 priorities pinpoint critical areas where investors may face increased risks. He urges firms to rigorously evaluate their compliance frameworks in these areas to mitigate potential harms. The examination process is not merely a regulatory formality; it is a proactive measure that seeks to prevent fraud and ensure the sound operation of capital markets.

For potential whistleblowers, the SEC’s announcement is a pivotal moment. The SEC’s emphasis on compliance and risk monitoring underscores the importance of reporting any observed violations related to the areas outlined in their priorities. Whistleblowers can play an essential role in identifying misconduct, especially in environments where fiduciary duties are not upheld or where investor data security is compromised.

The SEC will examine various entities—including investment advisers, broker-dealers, and self-regulatory organizations—to ensure adherence to federal securities laws. This comprehensive approach means that whistleblowers within these organizations have a unique opportunity to influence the regulatory landscape by reporting unethical practices or non-compliance.

Key areas of examination will include compliance with new regulations and the use of emerging technologies, which could potentially expose firms to increased scrutiny. Whistleblowers who possess knowledge about how these technologies are being implemented—or misused—within their organizations can provide invaluable insights that aid in safeguarding investor interests.

Potential whistleblowers should consider the implications of these priorities seriously. Reporting suspected violations can help protect investors and promote ethical practices within the financial industry. The SEC encourages individuals to come forward with information, assuring them of protections under whistleblower laws. The SEC protects whistleblowers from retaliation and pays significant rewards for tips that lead to sanctions against companies.

The SEC’s 2025 examination priorities highlight significant risks within the capital markets and establish a clear call for vigilance among registrants. For potential whistleblowers, this is an opportune time to step forward and report unethical or illegal activities, contributing to the overarching goal of ensuring a fair and secure marketplace for all investors.

The attorneys at Whistleblower Partners have successfully represented many whistleblowers in matters under the SEC whistleblower program. If you would know of violations like those described in the SEC’s recently announced examination priorities or any other misconduct related to the securities markets, please contact us for a confidential consultation.