The Department of Labor’s (DOL) PTE 2020-02 "Improving Investment Advice for Workers & Retirees," exemption set new requirements for advisers, which provide recommendations to retirement plan participants to roll their account from a plan to an individual's retirement account (IRA) or plan. With rollovers estimated to reach $760 billion a year over the next five years, state and Securities Exchange Commission (SEC)-registered firms have their work cut out for them. That’s where we can help.