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Having Good Reason to Do an IRA Rollover
The Wall Street Journal; subscription may be required Link to more items from this source
Jan. 15, 2014
"With the brokerage industry's two regulators increasing their scrutiny over 401(k) rollovers to individual retirement accounts, some compliance officers are making sure their advisers have a good reason when recommending investors make the switch.... Even some larger firms are reviewing their call center protocols, marketing, and adviser education to make sure they avoid potential run-ins with regulators, according to a source familiar with the matter."

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