Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library The Written Supervisory Procedure (WSP)

The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations

and FINRA Rule 3110 (Supervision)

Members also downloaded Broker-Dealer Notification of Accounts at Other Broker-Dealers and Financial Institutions and Investment Adviser Disclosure of Accounts at Broker-Dealers and Other Financial Institutions

and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63

Total Page Count/Format 9/

Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library The Written Supervisory Procedure (WSP)The Rollover Due Diligence Form for DOL PTE 2020 02 serves as an important part of a firms overall compliance with the Department of Labors (DOLs) adopted Prohibited Transaction Exemption 2020 02 (PTE 2020 02) where broker dealers and investment advisers making a rollover recommendation will need to document the reasons why the rollover is in the retirement investors best interest. Firms should make diligent and prudent efforts to obtain information