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Understanding and Processing IRA Rollovers and Transfers

Date: August 14, 2013

Time: 3:00pm - 4:30pm

Location: Webinar


IRA rule changes over the past several years have expanded the portability options available to IRA holders. The increase in choices, while providing welcome new opportunities, comes with additional complexities. IRA members are posing difficult new questions. What are the considerations and consequences of rolling over funds from an employer-sponsored retirement plan into an IRA, versus an inherited or beneficiary IRA? This program is designed to assist employees who deal directly with members and those who work behind the scenes in the IRA support or operations areas. It will provide valuable information to both experienced staff and those who are new to IRAs. Join us to achieve a solid understanding of IRA rollover and transfer rules and responsibilities.

Continuing Education: Attendance verification for CE credits upon request


    • Important characteristics of IRA rollovers versus transfers
    • Processing and reporting rollovers and transfers
    • Required and suggested forms and documentation, including review of a sample rollover certification form
    • Employer-sponsored plan to IRA rollovers considerations
    • Recognizing the difference between direct and indirect IRA rollovers
    • How to effectively address common questions about rollovers
    • Possible tax consequences when rolling to a Roth IRA
    • Electronic training log
    • Quiz you can administer to measure staff learning and a separate answer key


This session will provide practical information to those who deal face-to-face with members or have IRA operational, compliance or reporting responsibilities. This session will also provide individuals who work in a management capacity with a solid understanding and appreciation of IRA rollover and transfer rules and the responsibilities that come with accepting rollover deposits.