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.
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