Expert articles on PTE 2020-02 compliance, rollover analysis best practices, Form 5500 insights, and tools for financial advisors.
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.
Advisors everywhere know: rollover compliance in 2026 is no longer a nice-to-have, it's a non-negotiable. The DOL and SEC have raised the bar, and regulators are demanding clear, repeatable, audit-ready processes behind every recommendation.
Welcome to the Simple Advisor Tools blog, your resource for PTE 2020-02 compliance guidance, rollover analysis best practices, and financial advisor tools.
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