Brokerage Windows in Retirement Plans

The request for information (RFI) regarding the use of so-called "brokerage windows" is one of the more recent developments surrounding what has become an increasingly controversial topic regarding the investment of Section 401(k) plans and other participant-direct retirement plans.

15 minute read July 01, 2015 at 12:05 PM
By
Andrew L. Oringer, Andrew H. Braid And Aaron S. Cha
Brokerage Windows in Retirement Plans

On Aug. 21, 2014, the U.S. Department of Labor (DOL) published a request for information (RFI) regarding the use of so-called “brokerage windows” under retirement plans, such as many Section 401(k) plans, that allow participants (and beneficiaries) to direct the investment of their retirement accounts.

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