Key Takeaways
- The SEC Division of Examinations has issued its 2026 fiscal year Examination Priorities.
- The Priorities include a focus on older investors, investing for retirement and rollovers.
- This article discusses those priorities.
The SEC Division of Examinations has published its 2026 Examination Priorities. (2026-exam-priorities.pdf) While the Priorities are far reaching, this article looks at the references to older investors, retirement investors and rollovers.
Among those references are:
Continue reading Things I Worry About (28): SEC Exams About Older and Retirement Investors
