Why You Should Access
Regulators are very focused on ensuring that recommendations being made to retirement investors are in those customers’ best interest. This includes recommendations to roll employer-sponsored retirement plans into Individual Retirement Accounts (IRAs). Rollovers have been identified by the SEC and FINRA as a focus area in examinations of Reg BI compliance and it is also in the cross hairs of the Department of Labor.
By accessing our quick reference guide, you'll gain access to our team's real-world industry experience, insights and know-how.
You'll Receive
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- Background Rule Information
- The Fiduciary 5 Part Test
- General Exemption Requirements
- How To Handle Self-Corrections
- Rollover Requirements
- Rollover Documentation