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Best Interest Standard of Care for Advisors, Part 97: The SEC Requirements for Rollover Recommendations
FredReish.com Link to more items from this source
[Guidance Overview]
July 28, 2022

"While most of the focus of the literature about rollover recommendations has been on the DOL's fiduciary interpretation and PTE 2020-02, the SEC has, for the most part, harmonized its best interest/fiduciary requirements for rollover recommendations with those of the DOL. This article discusses the two-part harmony between the agencies, and the areas of disharmony."

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