Understanding & Processing IRA Rollovers & Transfers

Thursday, September 7, 2017

12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

Rule changes and regulatory guidance over the last few years have had a dramatic impact on the guidelines governing IRA rollovers and transfers. Do you understand the implications to your IRA program?

While changes often provide new opportunities, the choices faced by IRA accountholders have become increasingly complex. This session is designed to provide valuable information to both experienced and new IRA staff who want a solid understanding of IRA rollover and transfer rules and responsibilities. There will be important takeaways provided for everyone. Whether your job includes operations, service, or management, this session will provide practical insights into handling IRAs.

Continuing Education: Attendance verification for CE credits upon request


  • Recent 60-day IRA rollover guidance
  • Eleven reasons for an automatic extension of the 60-day IRA rollover rule
  • Documentation responsibilities as the IRA custodian
  • The once-every-12-months IRA rollover rule and when it applies
  • How to distinguish between a rollover and a transfer
  • Proper processing and reporting requirements of rollovers vs. transfers
  • Required and suggested forms and documentation
  • Considerations for rollover from employer-sponsored plan to IRA
  • Difference between direct and indirect IRA rollovers

    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


"Traditional & Roth IRA Plan Establishment & Required Amendments"
Thursday, June 15, 2017


This session will benefit staff who have direct customer contact, IRA operations or compliance responsibilities, or insurance or securities licenses. It will also provide managers and supervisors with a solid understanding and appreciation of the rules and the responsibilities that come with accepting rollover and transfer assets.

PLEASE NOTE: Program content is subject to copyright and intended for your individual financial institution’s use only.