Transcription of Regulatory Notice 13-45 - finra.org
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Regulatory Notice 13-45 - finra.org
1 Regulatory Notice 13-45 December 2013 Notice Type00 GuidanceSuggested Routing00 Compliance00 Legal00 Registered Representatives00 Senior ManagementKey Topics00 Communications with the Public00401(k) Plans00 Individual Retirement Accounts00 Suitability00 Supervision00 TrainingReferenced Rules & Notices00 finra Rule 201000 finra Rule 211100 finra Rule 221000 NASD Rule 301000 NASD Rule 301200 Regulatory Notice 13-23 Rollovers to Individual Retirement AccountsFINRA Reminds Firms of Their Responsibilities Concerning IRA RolloversSummaryFINRA is issuing this Notice to remind firms of their responsibilities when (1) recommending a rollover or transfer of assets in an employer-sponsored retirement plan to an Individual Retirement account (IRA) or (2) marketing IRAs and associated services.
Regulatory Notice 3 uul5uyg 13-45 00 Fees and Expenses—Both plans and IRAs typically involve (i) investment-related expenses and (ii) plan or account fees. Investment-related expenses may include sales loads, commissions, the expenses of any mutual funds in which
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