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DOL Seeks Information on Use of Brokerage Windows (PDF)
Buck Link to more items from this source
[Guidance Overview]
Sept. 11, 2014
"The stated purpose of the RFI is to increase the DOL's understanding of the prevalence and role of brokerage windows in these plans. The DOL is seeking information to determine what regulatory standards or guidance may be necessary to protect participant savings. The goal is to ensure participants are not exposed to undue risk and that fiduciaries understand the scope of their responsibilities when brokerage windows are part of the investment platform.... The DOL seems to have a particular concern about the use of non-designated investment alternatives as the exclusive means of investing in a plan to avoid any fiduciary or reporting obligations."

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