DOL & the IRA, is it the same as for the 401K?

Our Compliance office has flagged a few IRA’s requesting the DOL disclosures “as if” we had completed a Retirement plan rollover…can someone clarify when or if this is a proper interpretation of the rules?





We are missing my question….i understand the rollover…im speaking of a custodian to custodian IRA “TRANSFER”  from one IRA to another….



From PTE 2020-02:  “The Department has retained the scope of the documentation requirement to include IRA transfers and transfers between brokerage and advisory accounts, even though those decisions may not be irrevocable, because they may involve significant cost, particularly over the long term.”



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