NEW SEC REG BI 

APPLIES TO ROLLOVER RECOMMENDATIONS

ARE YOU READY?

Are you acting in your clients’ best interest when it comes to rollovers? On June 30, the new SEC Regulation Best Interest (Reg BI) became effective. Reg BI establishes a “best interest” standard of conduct for broker-dealers when they make recommendations to clients of any securities transaction or investment strategy involving securities. Reg BI specifically covers proposals for rolling over funds from a workplace retirement plan account to an IRA.

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