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Annual Review – Certification of Annual Retrospective Review of IRA Rollover

February 21, 2023

This Annual Review – Certification of Annual Retrospective Review of IRA Rollover is a sample investment adviser form which is intended to document a senior executive’s certification of annual retrospective review of IRA Rollovers in accordance with the U.S. Department of Labor’s Prohibited Transaction Exemption (“PTE”) 2020-02.

Included with Platinum & Titanium Packages. Available for a la carte purchase through our Online Store at Annual Review – Certification of Annual Retrospective Review of IRA Rollover.

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Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log

August 16, 2019

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