See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News July 13, 2015 Issue

New Exams Will Focus on Retail Investments for Retirement

The SECís Office of Compliance Inspections and Examinations is putting flesh on the bones of one of its stated 2015 examination promises: It will begin examining advisers and broker-dealers that sell to retail investors saving for retirement.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight for just $1,195! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.