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SEC focuses attention on conflicts of interest in financial advice for seniors, retirement savers – CNBC

The SEC is focusing on conflicts of interest among financial advisors and brokers this year, according to its list of examination priorities for 2021.



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The headquarters of the US Securities and Exchange Commission (SEC).
The Securities and Exchange Commission will probe conflicts of interest in financial advice this year with more vigor, at a time when market conditions may lead brokers to take advantage of clients with greater frequency, the federal agency said Wednesday.
The financial regulator will prioritize fraud, sales practices and conflicts among financial advisors and brokers, the SEC said in its annual list of examination priorities,…

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