Series 99: 1.2.2.10.3.4 Rollover Or Transfer

Taken from our Series 99 Top-off Online Guide

1.2.2.10.3.4 Rollover or Transfer

Sometimes qualified retirement plan participants may want to roll over or transfer the assets in their current plans to other qualified plans or to IRAs. Rollovers and transfers differ both procedurally and in their tax consequences.

A rollover is when the participant takes the retirement distribution (the funds) into her own personal possession and then looks for a new way to invest the funds. This usually occurs when an employee leaves one job and takes the earned pension or accumulated account in one lump sum at departure. The IRS gives account holders 60 days to complete the rollover. For company-managed qualified plans, the company must withhol

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I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

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