UpFront » October 2025

Two years ago the SEC’s annual examination priorities release was moved to October, which allowed it to be timed with the occurrence of the SEC’s new fiscal year. This year the federal government shutdown has derailed that timing and firms should expect details of the SEC’s upcoming exam focus areas to be delayed for several months. FrontLine’s Founder and President Amy Lynch comments that this SEC administration wanted to stick to the earlier publication schedule…

FrontLine Compliance has launched its initial video episode of The Regulatory Gaga with Founder and President Amy Lynch. “When Nobody’s Home at the SEC” discusses how the SEC’s expectations of firms and their compliance with its regulations continue even when federal offices go quiet during a shutdown. ✅ Firms undergoing an exam must still meet all submission deadlines. ✅ The SEC tracks when you send your materials — timeliness reflects cooperation. ✅ Staying on top…

Even though your SEC may be on hold during the federal government shutdown, the part of the exam process that your firm is responsible for should still continue. Amy Lynch, FrontLine’s Founder and President, states in the lead comments that even during the shutdown the SEC’s systems are still operational. The significance, she continues, is that even though a firm’s exam may be paused, filings and document uploads to SEC portals will still work. Because…

For SEC registered investment advisers, the federal government shutdown does not provide a reprieve from rule requirements, regulatory deadlines and necessary filings. FrontLine Compliance Founder and President Amy Lynch states that firms will still be able to submit the typical filings required for an SEC registrant. She points out that the SEC has automated much of its filings’ process, which will allow firm filings to continue uninterrupted, although some delays may occur. Ms. Lynch further…