WASHINGTON -- In the coming year, examiners with the SEC and FINRA are going to take a close look at the ways that broker-dealers and their advisor representatives are handling rollovers of clients' retirement plans, officials from the regulatory bodies said this week.
Both regulators have identified rollovers as a priority for their 2014 examinations, putting brokers and advisors on notice that they plan to scrutinize how they are working with clients who are planning for retirement.
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