SEC Takes Aim at Rollovers, Never-Before Examined IAs
The Securities and Exchange Commission announced its examination priorities for 2014 in mid-January, and like FINRA, the SEC will also focus on advisor and broker-dealer IRA rollover activity this year.
Never-Examined Advisors Top SEC’s 2014 Exam Priorities List
Like FINRA, SEC also plans to scrutinize IRA rollovers this year.
SEC Lays Out Advisor Exam Priorities for 2013
The regulator's top concerns include new, never-regulated advisor registrants and dually registered advisors.