Tag

DOL Regulations

Department of Labor regulations and rules

2 articles

SAT

Form 5500

January 14, 20268 min

How Recent Changes to Form 5500 Reporting Impact Rollover Analysis Compliance

Navigating retirement plan rollovers has always required rigorous documentation and an up-to-date understanding of regulatory trends. As we enter 2025, recent changes to Form 5500 reporting bring a new level of detail and responsibility for those of us who facilitate rollover analyses.

SAT

PTE 2020-02 Compliance

January 14, 202611 min

What Financial Advisors Need to Know About PTE 2020-02 Fiduciary Documentation Requirements

PTE 2020-02 has become one of the most important compliance frameworks shaping how we, as financial advisors, document rollover recommendations for clients. Navigating the new fiduciary documentation requirements is not just about satisfying the Department of Labor.

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