I have recently written an article on “Capturing Rollovers.” The article discusses the DOL’s guidance on the issues involved in capturing rollovers, both by broker-dealers and RIAs. The article analyzed that guidance and discussed programs for RIAs and broker-dealers. You can download a PDF of the article by clicking on the link below:
http://www.drinkerbiddle.com/files/ftpupload/pdf/CapturingRollovers.pdf
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The views expressed in this article are the views of Fred Reish, and do not necessarily reflect the views of Faegre Drinker.
