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FINRA Protects Seniors by Disciplining Inadequate Supervision of VA Sales

As baby boomers continue to age, securities regulators focus on protecting the growing population of seniors and retirees. For example, the regulators are seeking to ensure that broker-dealers’ systems and procedures for...more

Retirement Funds Rollovers: FINRA Ends 2013 By Identifying Its First 2014 Priority

It is the end of the year, and many people are thinking about the status of their retirement accounts and planning any changes to their investments. FINRA also has retirement accounts on the brain. It is thinking about the...more

1/2/2014  /  401k , Broker-Dealer , FINRA , IRA , Retirement

Will the CFPB Take on the Regulation of Retirement Savings Plans?

According to a recent Bloomberg report, the Consumer Financial Protection Bureau is considering whether it should take a role in helping Americans manage their retirement savings. CFPB Director Richard Cordray told a...more

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