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Slide Presentation

The U.S. Securities and Exchange Commission (SEC) and the Federal Retirement Thrift Investment Board co-sponsored a program titled 'Your TSP Account - What to Think About When Nearing Retirement or Considering Leaving the Government' which was posted on Tuesday, Oct. 6, 2020, at 2:00 pm ET.

This program, produced during World Investor Week, is open to all federal employees and members of the uniformed services, and is designed for those who may be considering retiring or leaving federal service.

The program covers Thrift Savings Plan (TSP) distribution options, withdrawals and rollouts. Discussion also covers investment risk and fees, the common red flags of investment fraud, how to check out a financial professional and questions to ask when thinking about moving funds from the TSP.

Address all substantive TSP and investment questions to the sources below:

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The Investment Adviser Examination Program in the SEC's New York Regional Office is pleased to present the second installment in its series of Investment Adviser Compliance Outreach Netcasts. This installment covers 2019 examination priorities, including (1) fees and expenses for retail clients; (2) conflicts of interest; (3) senior investors and retirement savers; (4) portfolio management and trading; (5) never-before examined advisers; (6) mutual funds and ETFs; and (7) cybersecurity. The netcast also provides a timely discussion of two hot topics: digital asset investments* and the Share Class Selection Disclosure Initiative.

*Statistics in digital asset portion of the netcast were sourced from https://www.icodata.io/stats/2018 and https://www.icodata.io/stats/2014.

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Consistent with the National Exam Program’s principle of transparency, the New York Regional Office has recorded this 2-part netcast about the Investment Adviser Examination Program, which includes observations from recent investment adviser examinations as well as best practices in the event you are examined.

", "seealso": [ "

See also Netcast Series Episode 1, Part 2

" ] }, { "document_id": "nyro-netcast-091218-2", "title": "New York Regional Office Investment Adviser Compliance Outreach Netcast Series, Episode 1, Part 2", "created": "2018-09-12", "videoid": "244ede9c1e6745a58e97130deebf9b99", "upload_name": "nyro-netcast-pt2", "description": "NYRO Netcast Part 2", "notes": "

Consistent with the National Exam Program’s principle of transparency, the New York Regional Office has recorded this 2-part netcast about the Investment Adviser Examination Program, which includes observations from recent investment adviser examinations as well as best practices in the event you are examined.

", "seealso": [ "

See also Netcast Series Episode 1, Part 1

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