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EBSARulemakingEBSA-2014-0012

Standards for Brokerage Windows in Participant-Directed Individual Account Plans

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Last modified
Dec 1, 2014
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closed 4269d ago
American Bankers Association filings
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Activity

American Bankers Association filed 1 comment on this docket between Dec 1, 2014 and Dec 1, 2014. 13 other organizations filed here. The comment window closed 4269d ago.

What American Bankers Association filed (1)

Dec 1, 2014· 1210-AB59 comment 16 American Bankers Association· EBSA-2014-0012-0017

Filed on regulations.gov — full text not in the inline record.

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Abstract

The Employee Benefits Security Administration of the U.S. Department of Labor (the Department) is publishing this Notice as part of its review of the use of brokerage windows (including self-directed brokerage accounts or similar arrangements) in participant-directed individual account retirement plans covered by the Employee Retirement Income Security Act of 1974 (ERISA). Some plans offer participants access to brokerage windows in addition to, or in place of, specific investment options selected by the plans’ fiduciaries. Through these arrangements, plan participants may be able to choose among the full range of investment options available in the investment marketplace. The Request for Information contained in this Notice will assist the Department in determining whether, and to what extent, regulatory standards or other guidance concerning the use of brokerage windows by plans are necessary to protect participants’ retirement savings. It also will assist the Department in preparing any analyses that it may need to perform pursuant to Executive Order 12866, the Paperwork Reduction Act, and the Regulatory Flexibility Act.

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Co-filers (13)

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