Photo: AP

The Securities and Exchange Commission will continue to make oversight of 401(k) and IRA advice a top initiative in 2016, according to the release of the agency’s exam priorities.

According to the agency’s announcement of priorities for 2016 examinations, the SEC’s Office of Compliance Inspections and Examinations (OCIE) will continue to examine issues for investors saving for retirement, ranging from exams to products, fees, disclosure and “a broad array of information, advice, products and services to retail investors to help them plan for, and live in, their retirement years.”

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

Your access to unlimited content isn’t changing.
Once you are an ALM digital member, you’ll receive:

  • Critical 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

Already have an account?

Dig Deeper



Join BenefitsPRO

Don’t miss crucial news and insights you need to navigate the shifting employee benefits industry. Join now!

  • Unlimited access to - your roadmap to thriving in a disrupted environment
  • Access to other award-winning ALM websites including and
  • Exclusive discounts on and ALM events.

Already have an account? Sign In Now
Join BenefitsPRO

Copyright © 2023 ALM Global, LLC. All Rights Reserved.