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DOL Requests Comments on Brokerage Windows in 401(k) Plans
Winston & Strawn LLP Link to more items from this source
[Guidance Overview]
Aug. 25, 2014
"The DOL's goal in issuing the request for information is to assist the DOL in determining whether, and to what extent, regulatory standards or other guidance concerning the use of brokerage windows may be necessary to protect plan participants. In addition, the DOL wants to ensure that plan fiduciaries properly understand the scope of their ongoing responsibilities with respect to brokerage windows. The request for information provides insight into the DOL's thinking in this area. Many of the requests may be of particular interest to fiduciaries of plans that offer, or are considering offering, brokerage windows[.]"

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