During the span of employment, it’s not uncommon for two situations to arise with respect to retirement savings: the potential need to borrow from your retirement account, and a change in employer that raises the question of whether to roll your assets into a new plan or an IRA.
Loans
If you need cash, you might be tempted to borrow from your employer-sponsored plan rather than applying to a
FINRA:
Save-the-Max Calculator
Required Minimum Distribution Calculator
Annual Contribution Limits
Investor Insights: 5 Tips for Automatic Retirement Plan Investing
Investor Insights: The Beginner’s Guide to 401(k)s
Department of Labor:
A Look at 401(k) Fees
What You Should Know About Your Retirement Plan
IRS:
Retirement Plans
SEC:
Employment to
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Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
17a-13(a) This section shall apply to every member of a national securities exchange who transacts a business in securities directly with or for others than members of a
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-3 Records to be made by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
