Tag: Rollovers

Making Compliant Rollover Recommendations

ON-DEMAND WEBINAR The SEC and DOL are continuing to focus on rollover recommendations and their impact on investors. The DOL’s Fiduciary Rule and PTE 2020-02 requirements, enforceable on December 21, […]

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SEC and DOL: Rollover Requirements

ON-DEMAND WEBINAR   The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors. The DOL’s PTE 2020-02 expands the definition of fiduciary advice when recommending […]

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