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Testimony to the ERISA Advisory Council: Understanding Brokerage Windows in Self-Directed Retirement Plans (PDF)
Kent A. Mason, Davis & Harman LLPLink to more items from this source
[Opinion]
July 7, 2021

"[A]dditional guidance or requirements related to brokerage windows [could] [1] have an adverse effect on the ability of plan sponsors to offer brokerage windows to their employees and [2] consequently, reduce both plan participation and sponsorship.... [T]he participant-level disclosure regulation and FAB 2012-02R ... together are working very well to give plan sponsors and service providers appropriate, workable requirements and the guidance they need to understand the scope of their responsibilities while also ensuring that participants are not exposed to undue risks."

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