ARLINGTON, Va. -- Brokers' practices are facing increased scrutiny on another front.
SEC examiners are planning to launch a retirement sweep, evaluating how brokers and advisors handle these issues, following President Obama's support of the Labor Department's fiduciary proposal for retirement advisors.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access