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17-3152023
Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Audit Review Template
and FINRA Rule 3110 (Supervision)
and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63
Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library 17-3152023The 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
