DOL Digest May 22, 2017

SSN Marketing Compliance, DOL

IRA Rollovers from an ERISA Plan The DOL fiduciary rule will significantly change the information needed for IRA rollovers and the client disclosure documents when the rule takes effect June. 9. Securities Service Network will be updating its IRA rollover processes to comply with the new rule. The rule requires advisors and broker-dealers to document the specific reasons the advisor’s …