Navigating IRA Rollovers: Litigation Trends, Compliance Challenges, and Strategies for Fiduciary Excellence
Date: November 6, 2025
Time: 2:00 pm - 3:00 pm EST
Stay informed. Protect your clients. Future-proof your business.
As the volume of IRA rollovers is projected to reach $1.1 trillion by 2030*, financial professionals face increased scrutiny—and risk—regarding their rollover recommendations. Join experts from Fi360 and Pension Resource Institute (PRI) for an interactive discussion on the latest litigation trends, emerging compliance challenges, and best practices for IRA rollover advice.
This session will share actionable insights from fiduciary and legal experts on how firms can strengthen their rollover practices, manage legal exposure, and stay ahead of evolving regulatory expectations. The discussion will also share real-world tools available, including Broadridge's Decision Optimizer and PRI’s RolloverAdvantage, within the context of embracing fiduciary excellence.
By the end of the session, attendees will be able to:
- Identify key litigation trends and regulatory developments impacting IRA rollover recommendations.
- Assess the most significant compliance risks facing advisors and firms in today’s rollover environment.
- Evaluate actionable strategies and tools for strengthening rollover due diligence and documentation.
- Understand how thought-leading solutions can support a culture of prudent, client-centered advice.
- Position their practice and client communications to proactively address increased scrutiny and evolving fiduciary obligations.
*Source: https://www.planadviser.com/rollovers-may-reach-1-1-trillion-2030-limra/
This live webinar is currently pending approval for one (1) hour of Continuing Education credit for Fi360, CFP Board and IWI designations. This session is also pending approval for 1 credit of IAR CE. NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA of any of its member jurisdictions.
