Things I Worry About (28): SEC Exams About Older and Retirement Investors
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 […]
SEC 2025 Examination Priorities: Retirees and Rollovers
Key Takeaways Over 11,000 people are reaching age 65 every day and most have retired or are contemplating retirement. Many of those retirees will rollover money from retirement plans, including 401(k) plans, into IRAs. The IRA investments will need to provide sustainable retirement income for the lifetimes of those retirees, with regular withdrawals to pay […]