The Securities and Exchange Commission has made good on its promise to prioritize retirement savings.

Last week the Office of Compliance Inspections and Examinations launched the Retirement-Targeted Industry Reviews and Examinations Initiative, a multi-year program that will home in on RIAs' and broker-dealers' advisory practices to retirement investors in the retail market.

An alert issued by the OCIE said the new ReTIRE initiative will combine information from previous exams with new due diligence and data sweeps to determine which advisors and brokers will be subject to exams.

Complete your profile to continue reading and get FREE access to BenefitsPRO, part of your ALM digital membership.

  • Critical BenefitsPRO information including cutting edge post-reform success strategies, access to educational webcasts and videos, resources from industry leaders, and informative Newsletters.
  • Exclusive discounts on ALM, BenefitsPRO magazine and events
  • Access to other award-winning ALM websites including and

© 2024 ALM Global, LLC, All Rights Reserved. Request academic re-use from All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.

Nick Thornton

Nick Thornton is a financial writer covering retirement and health care issues for BenefitsPRO and ALM Media. He greatly enjoys learning from the vast minds in the legal, academic, advisory and money management communities when covering the retirement space. He's also written on international marketing trends, financial institution risk management, defense and energy issues, the restaurant industry in New York City, surfing, cigars, rum, travel, and fishing. When not writing, he's pushing into some land or water.