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SEC to Examine Retirement Advice
InsuranceNewsNet.comLink to more items from this source
June 22, 2015

"[T]he Securities and Exchange Commission examinations will evaluate issues such as whether registrants, advisers and broker-dealers are selecting the appropriate account for their client and whether they are performing due diligence on investment options.... Among other data, the examiners will review registrants' sales and account selection practices in light of the fees charged, the services provided to investors, and the expenses of such services ... Potential conflicts of interest will be studied, the agency said."

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