Broker-dealers and their registered representatives (advisors) providing services to private sector tax-qualified and ERISA-governed retirement plans, participants in those plans and IRA owners ...
Effective February 1, 2022, the Department of Labor (DOL) began enforcement of portions of the Prohibited Transaction Exemption 2020-02 (PTE 2020-02 or the Exemption). PTE 2020-02 was adopted on ...
This month, the Department of Labor’s Prohibited Transactions 2020-02 (PTE 2020-02) went into effect. This regulation increases the fiduciary scrutiny placed on IRA rollovers and other transactions ...
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