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EBSA Advisory Opinion 2005-11A on Behalf of Midminnesota Federal Credit Union 401(k) Plan
Employee Benefits Security Administration [EBSA], U.S. Department of Labor [DOL]Link to more items from this source
[Official Guidance]
May 23, 2005

Excerpt: Whether a registered representative of a broker-dealer who provides brokerage services to the customers of a credit union may also provide brokerage services to the credit union's participant-directed 401(k) plan, provided that the representative does not provide investment advisory or management services to the plan.

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