Brokerage Windows in Retirement Plans

In 2014, the 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. The RFI 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.

30 minute read July 02, 2015 at 12:00 AM
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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