The end of the year is a natural checkpoint for investment advisers to take stock of what has changed, what still needs attention, and what should be carried into 2027. Regulatory expectations continue to evolve, while firms themselves may be … Read More

Retirement account rollover recommendations remain a top focus of the Securities and Exchange Commission (“SEC”) and Department of Labor (“DOL”) examinations. While many advisers associate PTE 2020-02 with 401(k)-to-IRA rollovers, its application is broader and extends to many recommendations involving … Read More