Keyword: indirect rollover

Developing a Sound Rollover Strategy

There’s good news and there’s bad news on the IRA rollover front. The good news: The regulatory agencies and industry groups with jurisdiction over IRAs — the DOL, the SEC and FINRA — seem to be getting on the same page, diminishing the likelihood of conflicting mandates from multiple regulators. The bad news: They seem to be moving in the direction of the DOL’s approach to rollovers, increasing the likelihood of yet another participant disclosure mandate.   Read More