Updated Sunday, April 20, 2014 as of 10:01 PM ET
Practice - Regulatory/Compliance
SEC, FINRA to Scrutinize Retirement Rollovers
by: Kenneth Corbin
Wednesday, January 29, 2014

WASHINGTON -- In the coming year, examiners with the SEC and FINRA are going to take a close look at the ways that broker-dealers and their advisor representatives are handling rollovers of clients' retirement plans, officials from the regulatory bodies said this week.

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