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DOL Proposes to Expand Class Exemption to Cover Individual Retirement Annuities
Employee Benefits Security Administration [EBSA], U.S. Department of Labor [DOL] 
[Official Guidance] June 18, 2002
Excerpt: PTE 97-11 permits the receipt of services at reduced or no cost by an individual for whose benefit an IRA or Keogh Plan is established ... from a broker-dealer registered under the Securities Exchange Act of 1934 ... provided that certain conditions are met ... [T]he Department has determined to modify the definition of IRA ... to include Individual Retirement Annuities, as such term is defined in section 408(b) of the Code.
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