Videos and Webcasts

Navigating a New Rollover Reality

Kate Blake By Kate Blake
With the Department of Labor regulations on investment advice fiduciaries vacated, the industry reverts to prior guidance on the proper steps to completing a compliant IRA rollover, including best practices as outlined in FINRA Notice 13-45. Attend this course to understand the changing rollover reality; know the steps to uncovering plan distribution options; recognize four common rollover scenarios; and adapt a process for implementing and repeating compliant rollovers.

*Disclaimer: This recording is not eligible for Continuing Education Credits


Kate Blake
Kate Blake

Based in New York, Kate works with clients throughout the country, helping them develop effective plan designs, manage plan level modifications, and build employee awareness and appreciation for retirement programs.