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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]Link to more items from this source
[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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