Reg BI - Rollovers

Securities and advisory services offered through Cetera Advisors LLC, member FINRA/SIPC, a broker/dealer and a Registered Investment Adviser. Prosperity Network of Advisors is independent of Cetera Advisors LLC.

For internal use only.

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Reg BI - Rollovers

Regulation Best Interest (Reg BI) has a specific focus on Rollovers. Financial Professionals are required to document certain information to demonstrate that recommending a rollover from an employer-sponsored qualified plan into an IRA is in the client’s best interest.

For internal use only.

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