PTE 2020-02

Provide best interest rollover advice

The Department of Labor's (DOL) PTE 2020-02 expands the definition of fiduciary advice when recommending rollovers, making documentation and client disclosure an explicit requirement of its proposed prohibited transaction exemption.

Key requirements of PTE 2020-02

We help Broker-Dealers and RIAs meet the PTE 2020-02 requirements.

An End-to-End Workflow | Compare and Analyze Rollover Options | Cost Look-Up | Best Interest Recommendations | Documentation & Disclosure

Make compliant rollover recommendations

RolloverAnalyzer helps make compliant recommendations in a single workflow by:

  • Comparing rollover options across Client Fit, Service Level and Costs
  • Integrating Plan 5500 and benchmark data
  • Auto-generating client reports or “reasons why” to support the recommendation
  • Documenting and disclosing the recommendation to the client

Partnerships with industry leaders

Morningstar Logo
Beacon Strategies LLC Logo
Scopus Financial Group Logo

“We recognize that meeting the PTE 2020-02 requirements is most efficiently accomplished by utilizing compliance technology – there are far too many factors for an advisor to consider. InvestorCOM’s RolloverAnalyzer checks all the boxes within a single workflow and does it simply and intuitively.”

 Ryan Carlson AISG

Ryan Carlson
Principal, American Independent Securities Group (AISG)

“InvestorCOM’s compliance platform is well-suited to help broker-dealers meet many facets of their best interest obligations.”


William Trout
Director Wealth Management, Javelin Strategy

“75% of firms will use technology in order to meet the PTE 2020-02 regulatory requirements.”

Insight from InvestorCOM Roundtable Event “Preparing for PTE 2020-02”

SEC and DOL: Rollover Requirements

Eversheds Sutherland discusses the DOL and SEC's expectations, how to make compliant rollover recommendations, and more.

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Reg BI, Fiduciary Rule 3.0 and the Emergence of Pre-trade Compliance

This white paper explores the new pre-trade requirements and their impact on wealth management firms.

Read White Paper

Reg BI and PTE 2020-02 Compliance Priorities

Industry experts discuss the regulatory challenges and opportunities presented by Reg BI and PTE 2020-02.

Watch Webinar