The enforcement of the Department of Labor’s Prohibited Transaction Exemption (PTE) 2020-02 impacts IRA rollover advice. And complying with the PTE comes with requirements for documentation, oversight practices, client communication, and more. Get an understanding of the ruling and learn how configurable, intuitive, advisor-friendly technology can help your firm comply in the most streamlined way.

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Learn

Read an executive summary for a helpful overview of the regulation and its impacts

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Understand

Get answers to some of the most frequently asked questions about PTE 2020-02

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Solve

Discover Decision Optimizer:
technology that will help keep your firm compliant

Decision Optimizer

Where intuitive technology meets expert guidance.

2022 WM Finalist

Technology Provider | Compliance

Intuitive Technology

Firms of all sizes can count on Decision Optimizer either out-of-the-box, or configured based on firm needs and advisor preference. The user-friendly interface meets PTE 2020-02 requirements while introducing as little overhead as possible.

  • Subscriptions available for advisors that operate independently or as part of an enterprise

  • Single workflow analysis with customizable criteria and attestation templates

  • Access to robust benchmarking data when actual plan documentation isn't available

  • Interactive advisor interface with real-time updates

  • Documentation of recommendations and client-friendly reports

  • The ability to include investor needs and current account features to the analysis to support the recommendation
Decision Optimizer Sample Report iPad Screen

The Decision Optimizer promotes automation and efficiency

Information can automatically be sent to other applications through webhook capability:

  • Data collected in the analysis can be shared to a CRM or similar application

  • The PDF report can be sent to an application for storage, e-signature, or to be emailed to client

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Expert Guidance

Since IRA rollover regulations are expected to evolve over time, Decision Optimizer comes with the independent regulatory expertise of the Pension Resource Institute built right in. 

Your firm can choose to leverage PRI's written best practices as-is, or customize the specifics to fit your firm's unique needs. Either way, you will have the resources and support to comply with PTE 2020-02 and future IRA rollover requirements in a practical and streamlined way.

Contact Us

If you'd like to learn more, contact your Broadridge representative or complete the form below and an associate will be in touch soon.
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