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Information on Brokerage Windows Requested by DOL
October Three Consulting Link to more items from this source
Oct. 13, 2014
"Thus, a brokerage window can [1] allow plan participants who are sophisticated investors (including, e.g., participants using an account manager/advisor) access to investments not otherwise available and [2] deal with pressure from senior executives to increase the number of fund options available in the 'regular' fund menu. The RFI presents an opportunity for sponsors (and other interested persons) to provide DOL with information about how brokerage window programs work in practice, how useful they are and what problems they present. Respondents do not have to answer every question, and thus can concentrate on issues of particular concern."

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