Featured Jobs
|
3(16) Retirement Plan & Customer Liaison Compass
|
|
Pattison Pension
|
|
Defined Benefit Plan Consultant/Actuarial Analyst Sentinel Group
|
|
Retirement Relationship Manager MAP Retirement
|
|
Strategic Retirement Plan Consultant Retirement Plan Consultants
|
|
401K Safe
|
|
Regional Vice President, Sales MAP Retirement
|
|
DWC - The 401(k) Experts
|
|
MAP Retirement
|
|
Plan Administrator, Defined Benefit & Cash Balance The Pension Source
|
|
401K Safe
|
|
MAP Retirement
|
|
Pension Investors Corporation
|
|
Sentinel Group
|
Free Newsletters
“BenefitsLink continues to be the most valuable resource we have at the firm.”
-- An attorney subscriber
|
|
|
SEC Risk Alert: Observations from Broker-Dealer Examinations Related to Regulation Best Interest (PDF)
U.S. Securities and Exchange Commission [SEC] 
[Official Guidance] Feb. 3, 2023 "Moving forward, the Division intends to incorporate compliance with Regulation Best Interest into retail-focused examinations of broker-dealers, particularly those that include sales practices within the scope of the examination. The Division is issuing this risk alert to highlight deficiencies noted during examinations conducted, as well as examples of weak practices that could result in deficiencies." MORE >> |
| Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the linked news item's title). |
| An important word about authorship: BenefitsLink® created this link to the news item, but we are not the news item's author (unless expressly shown above). |