FINRA: IRA Rollover Practices a Top 2014 Priority
FINRA issued a notice this week reminding firms of their responsibilities when it comes to recommending a rollover or transfer of assets from an employer-sponsored retirement plan to an IRA or marketing IRAs and associated services.
The organization, which is the largest independent securities regulator in the U.S., warned that it will make reviewing firm practices in this area a top priority in 2014.
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