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ARTICLE · 06 JANUARY 2014

Retirement Funds Rollovers: FINRA Ends 2013 By Identifying Its First 2014 Priority

Morrison Foerster
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It is the end of the year, and many people are thinking about the status of their retirement accounts and planning any changes to their investments.

United StatesEmployment and HR
Daniel Nathan
Daniel Nathan
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It is the end of the year, and many people are thinking about the status of their retirement accounts and planning any changes to their investments. FINRA also has retirement accounts on the brain. It is thinking about the ways member firms recommend investments in retirement accounts, and planning what to do about that.

FINRA recently issued Regulatory Notice 13-45, giving notice that one of its examination priorities in 2014 will be reviewing firm practices when recommending a rollover of assets from an employer-sponsored retirement plan to an IRA.

The Securities Recommendation

According to FINRA, when a participant in an employer-sponsored 401(k) retirement plan changes employers, he or she has four options:

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