About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
Broker Transition
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
Team/Parnership Disputes
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
FAQs
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact
Site Menu
About
Attorneys
For Advisors
For Investors
FAQs
News & Articles
Contact

New OCIE Examination Priorities Aim to Protect Investors Saving for Retirement

Posted on July 31st, 2015 at 11:23 AM
New OCIE Examination Priorities Aim to Protect Investors Saving for Retirement

From the Desk of Jim Eccleston at Eccleston Law LLC:

In early 2015, OCIE announced that it will launch a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) initiative. This new initiative will have a focus on retail investors and investors saving for retirement. OCIE has launched the initiative claiming that investors are more dependent than ever on their own investments for retirement, and that they face an evolving set of factors involving their investment decisions.

With the help of the National Examination Program (NEP), OCIE will conduct examinations of SEC-registered investment advisers and broker-dealers. OCIE examinations will focus on high-risk investments, including reasonable basis suitability and conflicts of interest.

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston

Tags: Eccleston Law LLC, James Eccleston, eccleston, Eccleston Law, ocie, nep

Return to Archive

Request a Free Consultation

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

 
Chicago
55 West Monroe St.
Suite 610
Chicago, Illinois 60603
(312) 332-0000
(312) 332-0003
New York City
One Liberty Plaza
165 Broadway, 23rd Floor
New York, New York 10006
(312) 332-0000
(312) 332-0003
Boca Raton
2255 Glades Road
Suite 324A
Boca Raton, Florida 33431
(312) 332-0000
(312) 332-0003
2020 © Eccleston Law, LLC.
All Rights Reserved.
The law is continuously changing. Please do not rely on information found on this site without consulting a lawyer to determine if any recent changes in the law may have an impact.