SEC and FINRA crack down on abusive 401(k) rollover advice

01/9/2014 | ThinkAdvisor · Reuters

Regulators are worried that brokers are giving 401(k) rollover advice to retiring workers that isn't in their best interest. The Securities and Exchange Commission is following the Financial Industry Regulatory Authority in making scrutiny of 401(k) rollover advice a priority during broker examinations this year.

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ThinkAdvisor · Reuters

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