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During this webinar our Senior Compliance Consultants discussed potential conflicts that can be encountered by investment adviser representatives in recommending IRA rollovers.

This webinar was presented live on Thursday, October 28, 2021 at 12:00 PM CST.

Additional Resources

DOL Clarifies Fiduciary Advice Exemption for IRA Rollovers
WSP/CoE Section Update – IRA Rollover Recommendations

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IRA Rollovers Under U.S. Department of Labor’s PTE 2020-02

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