Frequently, FINRA sends out Regulatory Notices alerting firms and advisors of various issues in our industry. These notices and other pertinent information such as FINRA Rules can be found on FINRA's website: www.finra.org/Industry/index.htm.
One area that FINRA will focus on in its 2014 examinations is how advisors counsel and recommend clients to transfer employer-sponsored retirement plans to an IRA. Please take a moment to click on the link below to review Regulatory Notice 13-45 as a training refresher for IRA Rollover recommendations.
FINRA Regulatory Notice 13-45 IRA Rollovers can be accessed at https://ipi.egnyte.com/hs/20131231/136b527b0314429f
Any questions or concerns can be directed to:
Renee Emrick, Esq. | Chief Compliance Officer/General Counsel Investment Planners, Inc.
226 W. Eldorado St., P.O. Box 170, Decatur IL 62525
217.542.1220 | email@example.com | Integrity Performance Innovation