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SEC No-Action Letter Offers Guidance for Processing Rollover Checks
planadviser; registration may be required 
Mar. 27, 2019
"Banc West Investment Services asked the [SEC] to clarify its stance on the potential conflict between FINRA suitability determinations called for by rollover decisions and, on the other hand, SEC demands to forward customer checks within a day of receipt.... The letter ... lays out further stipulations for BWIS[.]"
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