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Providing Compliant Services for Participant Rollovers: The Duties of Broker-Dealers and RIAs
FredReish.com Link to more items from this source
Aug. 19, 2014
"[T]he compliance procedures and 'scripts' for participants with small account balances are often more difficult to develop than for the individualized treatment that can be financially justified for wealthier participants. Nonetheless, the regulators -- FINRA, the SEC and the DOL -- now expect broker-dealers and RIAs to have compliant procedures for 'capturing' IRA rollovers.... [T]his is not an easy job."

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