Filed Under:Your Practice, Regulatory

SEC to keep eye on advisors ‘highly successful’ at rollovers

Two top broker dealer regulators explained Tuesday why qualified plan rollovers and sales to seniors will face heightened scrutiny this year.

 “The goal is to see whether there is an abuse of rollovers,” Kevin Goodman, national associate director of the BD exam program for the Securites and Exchange Commission's Office of Compliance Inspections and Examinations, told attendees at the FSI OneVoice conference.

Originally published on ThinkAdvisor. All rights reserved. This material may not be published, broadcast, rewritten, or redistributed.

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Nichole Morford

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