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DOL Seeks Comments on Brokerage
Windows in Defined Contribution Plans

Aug. 20, 2014, 4:00 AM

The Labor Department’s Employee Benefits Security Administration Aug. 20 announced it is asking for input on 39 questions related to brokerage windows in participant-directed individual account retirement plans.

The purpose of the request for information is to increase its knowledge of “the prevalence and role of brokerage windows in participant-directed individual account plans covered by” the Employee Retirement Income Security Act, the department said in a notice scheduled for publication in the Aug. 21 Federal Register.

Phyllis C. Borzi, assistant secretary of labor for EBSA, said in a statement that the DOL’s “goal in issuing this RFI is to determine ...