Retirement Plan Documents Specialist Loren D. Stark Company |
Retirement Plan Administrator – Senior Associate PBMares |
Retirement Plan Administrator (TPA) Retirement Plan Consultants |
EPIC Retirement Plan Services |
EPIC: TPA/DPS |
RTD Financial Advisors |
Kentucky Trust Company |
Retirement, LLC |
Farmer & Betts, Inc. |
Retirement Plan Relationship Manager ERISA Services, Inc. |
Plumbers Local Union No. 1 Benefit Funds |
Administrator/Consultant (DC and DB) TPA Professionals |
Jr Retirement Plan Administrator/ Administrative Assistant Hochheiser Deutsch & Co, Inc. |
Retirement Plan Legal Specialist Pentegra |
Employee Benefits & Executive Compensation Associate Attorney Polsinelli PC |
Employee Benefits and Executive Compensation Associate Attorney Verrill |
Nicholas Pension Consultants |
Pentegra |
Retirement, LLC |
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Text of SEC National Exam Program Risk Alert: Retirement-Targeted Industry Reviews and Examinations Initiative (PDF) Office of Compliance Inspections and Examinations [OCIE], U.S. Securities and Exchange Commission [SEC] ![]() [Official Guidance] June 22, 2015 "[SEC's Office of Compliance Inspections and Examinations (OCIE)] is launching a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative.... OCIE, through the National Examination Program (NEP), will conduct examinations of SEC-registered investment advisers and broker-dealers (collectively, registrants) under the ReTIRE Initiative that will focus on certain higher-risk areas of registrants' sales, investment, and oversight processes, with particular emphasis on select areas where retail investors saving for retirement may be harmed.... NEP staff intends to focus on certain registered investment advisers and broker-dealers that provide services or sell investment products to retail investors. Examination focus areas include: reasonable basis for recommendations; conflicts of interest; supervision and compliance controls; and marketing and disclosure." |
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