Home Companies CapitalROCK, LLC Activity & Updates

About

Industry Categories
Technology/Software & Services
Employees & Contacts

26-75 Employees | 3 Contacts
Headquarters

45 E Center St Ste 201, North Salt Lake, UT 84054, USA

Location Map

Activity

Total Records: 2
  • All Users
  • My Activity
  • Member
  • Supplier
  • All Activity
  • Updates
  • Recommendations
  • Like
  • Follows
  • Added to List
  • Featured Content
  • Categories
  • Most Relevant
  • Most Recent

New Whitepaper Created

5 months ago
avtar-image

Connor , created a new whitepaper, Practical and Regulatory Risks Associated with Rollover "Education"

Practical and Regulatory Risks Associated with Rollover "Education"

CapitalROCK, LLC -

Two distinct rollover business models have emerged in response to the new rollover restrictions under Prohibited Transaction Exemption 2020-02 that went into full effect on July 1, 2022. Under the “Rollover Advice Model,” firms acknowledge their fiduciary status and comply with PTE 2020-02 when providing rollover advice. But under the “Rollover Education Model,” rollover guidance is limited to non-fiduciary education only. Certain firms feel that the Rollover Education Model has fewer compliance burdens and risks, since it does not require compliance with PTE 2020-02. However, there may be significant practical difficulties associated with this model. Read this White Paper to learn more about these difficulties and how RightBRIDGE can help.

practical-and-regulatory-risks-associated-with-rollover-education image

New Whitepaper Created

5 months ago
avtar-image

Connor , created a new whitepaper, Systematize your Annuity Review Process

Systematize your Annuity Review Process

CapitalROCK, LLC -

The RightBRIDGE Annuity Wizard is the ultimate pre-sales annuity solution for broker-dealers, seamlessly combining compliance solutions with intuitive annuity research tools.

systematize-your-annuity-review-process image
Show More