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Google Keyword Rankings for : dol brokerage window
1
2021-understanding-brokerage-windows-in-self-directed ...
https://www.dol.gov/sites/dolgov/files/EBSA/about-ebsa/about-us/erisa-advisory-council/2021-understanding-brokerage-windows-in-self-directed-retirement-plans.pdf
The 2021 ERISA Advisory Council examined brokerage windows in participant-directed individual ... 5 DOL Field Assistance Bulletin No. 2012-02R, Q&A 39, ...
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https://www.dol.gov/sites/dolgov/files/EBSA/about-ebsa/about-us/erisa-advisory-council/2021-understanding-brokerage-windows-in-self-directed-retirement-plans.pdf
The 2021 ERISA Advisory Council examined brokerage windows in participant-directed individual ... 5 DOL Field Assistance Bulletin No. 2012-02R, Q&A 39, ...
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2
DOL Guidance Could Put a Crimp in 401(k) Brokerage Windows
https://www.shrm.org/resourcesandtools/hr-topics/benefits/pages/dol-guidance-could-crimp-401k-brokerage-windows.aspx
U.S. Department of Labor (DOL) guidance cautioning employers about offering cryptocurrency as a 401(k) investment also warned about letting ...
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https://www.shrm.org/resourcesandtools/hr-topics/benefits/pages/dol-guidance-could-crimp-401k-brokerage-windows.aspx
U.S. Department of Labor (DOL) guidance cautioning employers about offering cryptocurrency as a 401(k) investment also warned about letting ...
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3
Alerts Brokerage Window Fiduciary Duties in Light of DOL ...
https://kilpatricktownsend.com/en/insights/alert/2022/5/brokerage%20window%20fiduciary%20duties%20in%20light%20of%20dol%20cryptocurrency%20guidance
Brokerage windows offer a way of accommodating participants by making investment options available to them that fiduciaries have not determined ...
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https://kilpatricktownsend.com/en/insights/alert/2022/5/brokerage%20window%20fiduciary%20duties%20in%20light%20of%20dol%20cryptocurrency%20guidance
Brokerage windows offer a way of accommodating participants by making investment options available to them that fiduciaries have not determined ...
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4
DOL Reverses Position on Broker Window Investment ...
https://www.psca.org/dol-reverses-position-broker-window-investment-disclosures-0
FAQ 39, replacing FAQ 30, clearly states that a broker window investment is not a designated investment alternative under the participant fee disclosure rule.
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https://www.psca.org/dol-reverses-position-broker-window-investment-disclosures-0
FAQ 39, replacing FAQ 30, clearly states that a broker window investment is not a designated investment alternative under the participant fee disclosure rule.
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5
Brokerage Window Fiduciary Duties in ... - Hall Benefits Law
https://hallbenefitslaw.com/brokerage-window-fiduciary-duties-in-light-of-dol-cryptocurrency-guidance/
Not all 401(k) or retirement plans offer brokerage windows, nor are they required to do so. However, DOL regulations and guidance address some ...
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https://hallbenefitslaw.com/brokerage-window-fiduciary-duties-in-light-of-dol-cryptocurrency-guidance/
Not all 401(k) or retirement plans offer brokerage windows, nor are they required to do so. However, DOL regulations and guidance address some ...
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6
DOL Issues New Cryptocurrency and Brokerage Window ...
https://graydon.law/dol-issues-new-cryptocurrency-and-brokerage-window-guidance/
The DOL issued guidance approximately ten years ago that attempted to regulate brokerage windows but the guidance was taken back after criticism ...
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https://graydon.law/dol-issues-new-cryptocurrency-and-brokerage-window-guidance/
The DOL issued guidance approximately ten years ago that attempted to regulate brokerage windows but the guidance was taken back after criticism ...
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7
DOL Revises FAQs Clarifying Treatment of Brokerage Windows
https://content.next.westlaw.com/practical-law/document/Icf495fe7ef0a11e28578f7ccc38dcbee/DOL-Revises-FAQs-Clarifying-Treatment-of-Brokerage-Windows?viewType=FullText&ppcid=e5c4c0c5c2a049b8bbde3eca56d3abac&originationContext=knowHow&transitionType=KnowHowItem&contextData=%28sc.Default%29
The Department of Labor (DOL) issued revised guidance clarifying that brokerage windows, self-directed brokerage accounts or similar arrangements offered by ...
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https://content.next.westlaw.com/practical-law/document/Icf495fe7ef0a11e28578f7ccc38dcbee/DOL-Revises-FAQs-Clarifying-Treatment-of-Brokerage-Windows?viewType=FullText&ppcid=e5c4c0c5c2a049b8bbde3eca56d3abac&originationContext=knowHow&transitionType=KnowHowItem&contextData=%28sc.Default%29
The Department of Labor (DOL) issued revised guidance clarifying that brokerage windows, self-directed brokerage accounts or similar arrangements offered by ...
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8
New Crypto Guidance Rewrites Rules on 401(k) Brokerage ...
https://news.bloomberglaw.com/daily-labor-report/new-crypto-guidance-rewrites-rules-on-401k-brokerage-windows
Brokerage windows historically have been mostly off-limits to DOL regulators—the product of an unofficial covenant between the government ...
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https://news.bloomberglaw.com/daily-labor-report/new-crypto-guidance-rewrites-rules-on-401k-brokerage-windows
Brokerage windows historically have been mostly off-limits to DOL regulators—the product of an unofficial covenant between the government ...
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9
Brokerage windows in 401(k)s, seldom used, getting review ...
https://www.investmentnews.com/brokerage-windows-401k-dol-208416
Brokerage windows are getting more attention for access to ESG and other investments. A DOL council is reviewing disclosure rules.
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https://www.investmentnews.com/brokerage-windows-401k-dol-208416
Brokerage windows are getting more attention for access to ESG and other investments. A DOL council is reviewing disclosure rules.
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10
Jenner & Block | Client Alert: Reopening the Brokerage Window
https://jenner.com/library/publications/10358
On July 30, 2012, the Department of Labor (“DOL”) announced it has withdrawn Q&A 30 from Field Assistance Bulletin 2012-02 and replaced it with a new Q&A 39 ...
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https://jenner.com/library/publications/10358
On July 30, 2012, the Department of Labor (“DOL”) announced it has withdrawn Q&A 30 from Field Assistance Bulletin 2012-02 and replaced it with a new Q&A 39 ...
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11
ERISA Advisory Council pulls back the curtain on brokerage ...
https://www.mercer.com/our-thinking/law-and-policy-group/erisa-advisory-council-pulls-back-the-curtain-on-brokerage-windows.html
Framing previous DOL guidance ... Brokerage windows allow DC plan participants to invest their account balances in a variety of investment ...
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https://www.mercer.com/our-thinking/law-and-policy-group/erisa-advisory-council-pulls-back-the-curtain-on-brokerage-windows.html
Framing previous DOL guidance ... Brokerage windows allow DC plan participants to invest their account balances in a variety of investment ...
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12
Window Pain? Looking at the Risks of 401(k) Brokerage ...
https://www.neugroup.com/window-pain-looking-at-the-risks-of-401k-brokerage-windows/
New DOL guidance on cryptocurrency investment options raises broader fiduciary questions for some plan sponsors.
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https://www.neugroup.com/window-pain-looking-at-the-risks-of-401k-brokerage-windows/
New DOL guidance on cryptocurrency investment options raises broader fiduciary questions for some plan sponsors.
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13
Self Directed Brokerage Account Option in 401k Plans
http://www.401khelpcenter.com/cw/cw_self_directed.html
The DOL's investigative program would include those products offered through brokerage windows, implying that plan fiduciaries might be responsible for ...
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http://www.401khelpcenter.com/cw/cw_self_directed.html
The DOL's investigative program would include those products offered through brokerage windows, implying that plan fiduciaries might be responsible for ...
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14
Self-Directed Brokerage Windows in 401(k) Plans
https://www.morganlewis.com/blogs/mlbenebits/2018/08/self-directed-brokerage-windows-in-plans
In 2012, following the finalization of the participant-directed plan disclosure rules, DOL issued guidance indicating that the investment ...
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https://www.morganlewis.com/blogs/mlbenebits/2018/08/self-directed-brokerage-windows-in-plans
In 2012, following the finalization of the participant-directed plan disclosure rules, DOL issued guidance indicating that the investment ...
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15
DOL Brokerage Window Guidance and Cryptocurrency ...
https://www.financialcadence.com/insights-blog/2022/10/1/dol-brokerage-window-guidance-and-cryptocurrency-accounts
DOL Brokerage Window Guidance and Cryptocurrency Accounts ... due to lack of guidance to date regarding the issue of brokerage windows, ...
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https://www.financialcadence.com/insights-blog/2022/10/1/dol-brokerage-window-guidance-and-cryptocurrency-accounts
DOL Brokerage Window Guidance and Cryptocurrency Accounts ... due to lack of guidance to date regarding the issue of brokerage windows, ...
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16
A Peek Inside Brokerage Windows: ERISA Industry Provides ...
https://www.erisalitigation.com/2021/07/a-peek-inside-brokerage-windows-erisa-industry-provides-input-on-dol-advisory-committees-study/
A Peek Inside Brokerage Windows: ERISA Industry Provides Input on DOL Advisory Committee's Study ... The 2021 Advisory Council on Employee Welfare ...
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https://www.erisalitigation.com/2021/07/a-peek-inside-brokerage-windows-erisa-industry-provides-input-on-dol-advisory-committees-study/
A Peek Inside Brokerage Windows: ERISA Industry Provides Input on DOL Advisory Committee's Study ... The 2021 Advisory Council on Employee Welfare ...
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17
DOL Release Warns About Cryptocurrency in 401(k) Plans
https://www.klgates.com/DOL-Release-Warns-About-Cryptocurrency-in-401k-Plans-4-7-2022
The Release raises a number of concerns, including troubling implications for fiduciary duties with respect to brokerage windows and whether it ...
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https://www.klgates.com/DOL-Release-Warns-About-Cryptocurrency-in-401k-Plans-4-7-2022
The Release raises a number of concerns, including troubling implications for fiduciary duties with respect to brokerage windows and whether it ...
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18
How Much is that (Investment) in the Window…A Higher Level ...
https://www.employeebenefitslawblog.com/how-much-is-that-investment-in-the-windowa-higher-level-of-fiduciary-oversight-could-be-required-for-401k-plan-brokerage-windows/
The DOL had issued guidance in 2012 that the investment disclosure portion of the fee disclosure rules could apply to brokerage window ...
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https://www.employeebenefitslawblog.com/how-much-is-that-investment-in-the-windowa-higher-level-of-fiduciary-oversight-could-be-required-for-401k-plan-brokerage-windows/
The DOL had issued guidance in 2012 that the investment disclosure portion of the fee disclosure rules could apply to brokerage window ...
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19
Participant Fee Disclosure Rules as Applied to Brokerage ...
https://www.truckerhuss.com/2012/07/participant-fee-disclosure-rules-as-applied-to-brokerage-windows/
In Q&A 30 of DOL Field Assistance Bulletin No. 2012 – 02 (Q&A 30), the DOL first stated that a brokerage window “is not a 'designated investment ...
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https://www.truckerhuss.com/2012/07/participant-fee-disclosure-rules-as-applied-to-brokerage-windows/
In Q&A 30 of DOL Field Assistance Bulletin No. 2012 – 02 (Q&A 30), the DOL first stated that a brokerage window “is not a 'designated investment ...
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20
Questionable Response - Groom Law Group
https://www.groom.com/wp-content/uploads/2017/09/1381_PS1112_Saxon-p2ok5.pdf
upon the reversal by the Department of Labor (DOL) of the treatment of brokerage windows as “designated investment alter- natives” under the participant ...
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https://www.groom.com/wp-content/uploads/2017/09/1381_PS1112_Saxon-p2ok5.pdf
upon the reversal by the Department of Labor (DOL) of the treatment of brokerage windows as “designated investment alter- natives” under the participant ...
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21
Council Reports Some Concerns About Brokerage Windows
https://www.plansponsor.com/council-reports-concerns-brokerage-windows/
In 2012, as part of its Employee Retirement Income Security Act Section 404(a)(5) participant fee disclosure regulations, the DOL clarified in ...
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https://www.plansponsor.com/council-reports-concerns-brokerage-windows/
In 2012, as part of its Employee Retirement Income Security Act Section 404(a)(5) participant fee disclosure regulations, the DOL clarified in ...
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22
Cryptocurrency in 401(k) Retirement Plans - CRS Reports
https://crsreports.congress.gov/product/pdf/IF/IF12153/1
DOL regulations specifically exclude brokerage windows from the definition of designated investment alternatives. In 2012, DOL issued guidance ...
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https://crsreports.congress.gov/product/pdf/IF/IF12153/1
DOL regulations specifically exclude brokerage windows from the definition of designated investment alternatives. In 2012, DOL issued guidance ...
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23
Is it a fiduciary act to include a SDBA in a plan? Must it be ...
https://www.hartfordfunds.com/content/campaigns/hf/master/HFTargetActivity/FirmUser/the-fiduciary-responsibility-for-self-directed-brokerage-accounts-in-401k-plans-experiencefragment/jcr:content/par.html
... Q&A 39, the DOL explained that: Also, fiduciaries of such plans with platforms or brokerage windows, self-directed brokerage accounts, or similar plan ...
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https://www.hartfordfunds.com/content/campaigns/hf/master/HFTargetActivity/FirmUser/the-fiduciary-responsibility-for-self-directed-brokerage-accounts-in-401k-plans-experiencefragment/jcr:content/par.html
... Q&A 39, the DOL explained that: Also, fiduciaries of such plans with platforms or brokerage windows, self-directed brokerage accounts, or similar plan ...
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24
Offering a brokerage window - TD Ameritrade Institutional
https://www.tdainstitutional.com/content/dam/institutional/docs/sdps/offering-a-brokerage-window.pdf
Offering a brokerage window. A discussion of the fiduciary considerations ... fiduciary responsibility, prohibited transactions, IRS and DOL audits, ...
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https://www.tdainstitutional.com/content/dam/institutional/docs/sdps/offering-a-brokerage-window.pdf
Offering a brokerage window. A discussion of the fiduciary considerations ... fiduciary responsibility, prohibited transactions, IRS and DOL audits, ...
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25
Understanding Brokerage Windows in Self-Directed ...
https://www.eric.org/wp-content/uploads/2021/06/ERIC-Written-Statement-on-Brokerage-Windows-for-EAC-June-24-2021.pdf
are confident in their abilities to include the brokerage window as ... In 2014, the DOL issued a RFI to determine if further guidance was ...
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https://www.eric.org/wp-content/uploads/2021/06/ERIC-Written-Statement-on-Brokerage-Windows-for-EAC-June-24-2021.pdf
are confident in their abilities to include the brokerage window as ... In 2014, the DOL issued a RFI to determine if further guidance was ...
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26
ERISA Considerations In Using Brokerage Window Investing
https://www.law360.com/articles/1471774/erisa-considerations-in-using-brokerage-window-investing
The DOL indirectly recognized brokerage windows in the Section 408(b)(2) participant disclosure regulations by specifically excluding ...
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https://www.law360.com/articles/1471774/erisa-considerations-in-using-brokerage-window-investing
The DOL indirectly recognized brokerage windows in the Section 408(b)(2) participant disclosure regulations by specifically excluding ...
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27
Brokerage Window Definition - Investopedia
https://www.investopedia.com/terms/b/brokerage_window.asp
A brokerage window is a 401(k) plan option that gives the investor the capability to buy and sell investment securities through a brokerage platform.
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https://www.investopedia.com/terms/b/brokerage_window.asp
A brokerage window is a 401(k) plan option that gives the investor the capability to buy and sell investment securities through a brokerage platform.
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28
DOL Revises Fee Disclosure Guidance Applicable to ...
https://www.littler.com/publication-press/publication/dol-revises-fee-disclosure-guidance-applicable-brokerage-windows
The original FAB provided that investment alternatives available through a brokerage window, self-directed brokerage account, or similar ...
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https://www.littler.com/publication-press/publication/dol-revises-fee-disclosure-guidance-applicable-brokerage-windows
The original FAB provided that investment alternatives available through a brokerage window, self-directed brokerage account, or similar ...
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29
Council Recommends More Research About 'Brokerage ...
https://www.planadviser.com/council-recommends-research-brokerage-window-plans/
However, the council recommended that the DOL should consider further fact-finding related to “brokerage window only,” or BWO plans—i.e., plans ...
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https://www.planadviser.com/council-recommends-research-brokerage-window-plans/
However, the council recommended that the DOL should consider further fact-finding related to “brokerage window only,” or BWO plans—i.e., plans ...
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30
DOL Pushes Back on Crypto, SDBA Concerns - ASPPA
https://www.asppa.org/news/dol-pushes-back-crypto-sdba-concerns
Tommy Tuberville (R-AL) includes some comments with regard to its application to self-directed brokerage windows. The DOL's April 20 ...
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https://www.asppa.org/news/dol-pushes-back-crypto-sdba-concerns
Tommy Tuberville (R-AL) includes some comments with regard to its application to self-directed brokerage windows. The DOL's April 20 ...
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31
Request for Information Regarding Standards for Brokerage ...
https://www.federalregister.gov/documents/2014/08/21/2014-19832/request-for-information-regarding-standards-for-brokerage-windows-in-participant-directed-individual
Email: e-ORI@dol.gov. Include RIN 1210-AB59 (Brokerage Windows RFI) in the subject line of the message. Mail: Office of Regulations and ...
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https://www.federalregister.gov/documents/2014/08/21/2014-19832/request-for-information-regarding-standards-for-brokerage-windows-in-participant-directed-individual
Email: e-ORI@dol.gov. Include RIN 1210-AB59 (Brokerage Windows RFI) in the subject line of the message. Mail: Office of Regulations and ...
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32
Cryptocurrency in 401(k) Plans? Might be More Like “Crypto ...
https://www.americanbar.org/groups/labor_law/publications/ebc_news_archive/spring-2022/cryptocurrency-in-401k-plans/
The Release's reference suggests that DOL believes cryptocurrency investment options in brokerage windows may be the type of extraordinary ...
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https://www.americanbar.org/groups/labor_law/publications/ebc_news_archive/spring-2022/cryptocurrency-in-401k-plans/
The Release's reference suggests that DOL believes cryptocurrency investment options in brokerage windows may be the type of extraordinary ...
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33
DOL Urges ERISA 401(k) Plan Fiduciaries to Exercise ...
https://www.willkie.com/-/media/files/publications/2022/dolurgeserisa401kplanfiduciariestoexerciseextremec.pdf
The U.S. Department of Labor (the “DOL”) issued its first guidance ... fact that the DOL expressly calls out the use of brokerage windows, ...
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https://www.willkie.com/-/media/files/publications/2022/dolurgeserisa401kplanfiduciariestoexerciseextremec.pdf
The U.S. Department of Labor (the “DOL”) issued its first guidance ... fact that the DOL expressly calls out the use of brokerage windows, ...
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34
DOL Issues Guidance on 401(k) Plan Investment in ...
https://www.arnoldporter.com/en/perspectives/advisories/2022/03/dol-guidance-on-401k-investment-in-cryptocurrency
... including through an open brokerage window. DOL questions the extent to which cryptocurrency may be an appropriate retirement investment ...
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https://www.arnoldporter.com/en/perspectives/advisories/2022/03/dol-guidance-on-401k-investment-in-cryptocurrency
... including through an open brokerage window. DOL questions the extent to which cryptocurrency may be an appropriate retirement investment ...
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35
DOL Fiduciary Alert: 401(k) Plan Brokerage Windows - SGR Law
https://www.sgrlaw.com/client-alerts/1941/
DOL Fiduciary Alert: 401(k) Plan Brokerage Windows. In May, the Department of Labor (the “DOL”) released guidance regarding the new ...
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https://www.sgrlaw.com/client-alerts/1941/
DOL Fiduciary Alert: 401(k) Plan Brokerage Windows. In May, the Department of Labor (the “DOL”) released guidance regarding the new ...
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36
Brokerage Windows in 401(k) Plans - PhilArchive
https://philarchive.org/archive/VANBWI
retirement savings.2 A brokerage window – sometimes referred to as ... ciaries of responsibility over brokerage-window investments, DOL's.
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https://philarchive.org/archive/VANBWI
retirement savings.2 A brokerage window – sometimes referred to as ... ciaries of responsibility over brokerage-window investments, DOL's.
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37
DOL Weighs In On Permitting 401(k) Plans Investing In ...
https://www.boutwellfay.com/post/dol-weighs-in-on-permitting-401-k-plans-investing-in-cryptocurrencies
The DOL has issued a release that outlines where they stand on the ... or allowing such investments through brokerage windows should expect ...
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https://www.boutwellfay.com/post/dol-weighs-in-on-permitting-401-k-plans-investing-in-cryptocurrencies
The DOL has issued a release that outlines where they stand on the ... or allowing such investments through brokerage windows should expect ...
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38
Information on brokerage windows requested by DOL
https://www.octoberthree.com/information-on-brokerage-windows-requested-by-dol/
On August 20, 2014, the Department of Labor released a request for information (RFI) concerning brokerage windows in 401(k) plans.
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https://www.octoberthree.com/information-on-brokerage-windows-requested-by-dol/
On August 20, 2014, the Department of Labor released a request for information (RFI) concerning brokerage windows in 401(k) plans.
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39
Participant Directed Investments Through Brokerage Windows
https://www.wagnerlawgroup.com/blog/2021/03/participant-directed-investments-through-brokerage-windows-the-last-frontier-or-a-trap-for-the-unwary/
The one DOL rule that applies to brokerage windows in participant-directed plans is that fiduciaries must disclose to participants certain ...
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https://www.wagnerlawgroup.com/blog/2021/03/participant-directed-investments-through-brokerage-windows-the-last-frontier-or-a-trap-for-the-unwary/
The one DOL rule that applies to brokerage windows in participant-directed plans is that fiduciaries must disclose to participants certain ...
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40
EAC Makes Recommendation on SDBAs
https://www.napa-net.org/news-info/daily-news/eac-makes-recommendation-sdbas
Following an in-depth examination of self-directed brokerage accounts ... for the DOL to define exactly what constitutes a brokerage window.
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https://www.napa-net.org/news-info/daily-news/eac-makes-recommendation-sdbas
Following an in-depth examination of self-directed brokerage accounts ... for the DOL to define exactly what constitutes a brokerage window.
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41
DOL makes no secret of its concerns about crypto
https://us.eversheds-sutherland.com/mobile/NewsCommentary/Legal-Alerts/249391/DOL-makes-no-secret-of-its-concerns-about-crypto
ESsentials: DOL's position on brokerage windows seems to run counter to the view often taken by plan fiduciaries, that the plan fiduciary ...
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https://us.eversheds-sutherland.com/mobile/NewsCommentary/Legal-Alerts/249391/DOL-makes-no-secret-of-its-concerns-about-crypto
ESsentials: DOL's position on brokerage windows seems to run counter to the view often taken by plan fiduciaries, that the plan fiduciary ...
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42
DOL Expresses Extreme Concern Over Prudence of ...
https://www.bsk.com/news-events-videos/dol-expresses-extreme-concern-over-prudence-of-cryptocurrency-investments-in-401-k-plans
Historically, the DOL has not investigated brokerage windows, seemingly allowing fiduciaries to avoid liability for poor investment decisions ...
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https://www.bsk.com/news-events-videos/dol-expresses-extreme-concern-over-prudence-of-cryptocurrency-investments-in-401-k-plans
Historically, the DOL has not investigated brokerage windows, seemingly allowing fiduciaries to avoid liability for poor investment decisions ...
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43
Comments to DOL on Compliance Assistance Release No ...
https://www.uschamber.com/retirement/comments-to-dol-on-compliance-assistance-release-no-2022-01-401k-plan-investments-in-cryptocurrencies
DOL expressed “concern[]” that “[r]equiring specific investment options ... Depending on the brokerage window, a plan fiduciary often is not ...
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https://www.uschamber.com/retirement/comments-to-dol-on-compliance-assistance-release-no-2022-01-401k-plan-investments-in-cryptocurrencies
DOL expressed “concern[]” that “[r]equiring specific investment options ... Depending on the brokerage window, a plan fiduciary often is not ...
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44
United States: DOL Threatens To Investigate Fiduciaries Over ...
https://www.mondaq.com/unitedstates/employee-benefits-compensation/1172158/dol-threatens-to-investigate-fiduciaries-over-cryptocurrency-in-401ks
The plan fiduciaries responsible for overseeing such investment options or allowing such investments through brokerage windows should expect to ...
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https://www.mondaq.com/unitedstates/employee-benefits-compensation/1172158/dol-threatens-to-investigate-fiduciaries-over-cryptocurrency-in-401ks
The plan fiduciaries responsible for overseeing such investment options or allowing such investments through brokerage windows should expect to ...
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45
Would A Brokerage Window Limit An ERISA Plan's Fiduciary ...
https://www.fa-mag.com/news/would-a-brokerage-window-limit-an-erisa-plan-s-fiduciary-risk-67706.html
“While there is limited regulatory guidance on the use of brokerage windows, the [DOL's] ERISA Advisory Council recently examined the law ...
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https://www.fa-mag.com/news/would-a-brokerage-window-limit-an-erisa-plan-s-fiduciary-risk-67706.html
“While there is limited regulatory guidance on the use of brokerage windows, the [DOL's] ERISA Advisory Council recently examined the law ...
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46
DOL Signals Doubt About Prudence of Cryptocurrency-Based ...
https://www.mmmlaw.com/media/dol-signals-doubt-about-prudence-of-cryptocurrency-based-investment-options/
But cryptocurrency is new and different, and DOL is skeptical. ... including through a brokerage window, the plan fiduciaries still must ...
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https://www.mmmlaw.com/media/dol-signals-doubt-about-prudence-of-cryptocurrency-based-investment-options/
But cryptocurrency is new and different, and DOL is skeptical. ... including through a brokerage window, the plan fiduciaries still must ...
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47
DOL Raises “Serious Concerns” About 401(k) Plan In
https://www.murthalaw.com/files/employee___dol_raises_serious_concerns_about_401k_plan_investments_in_cryptocurrencies.pdf
On March 10, 2022, the U.S. Department of Labor (DOL) issued ... 2012-02R's Q&A 39, the DOL stated that a brokerage window was not a DIA for ...
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https://www.murthalaw.com/files/employee___dol_raises_serious_concerns_about_401k_plan_investments_in_cryptocurrencies.pdf
On March 10, 2022, the U.S. Department of Labor (DOL) issued ... 2012-02R's Q&A 39, the DOL stated that a brokerage window was not a DIA for ...
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48
DOL Cautions Plan Fiduciaries on Cryptocurrency Risks ...
https://www.wilmingtontrust.com/library/article/dol-cautions-plan-fiduciaries-on-cryptocurrency-risks--urges--ex
the absence of well-developed crypto regulations. Brokerage Windows. The DOL also included a warning to plan sponsors with respect to the ...
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https://www.wilmingtontrust.com/library/article/dol-cautions-plan-fiduciaries-on-cryptocurrency-risks--urges--ex
the absence of well-developed crypto regulations. Brokerage Windows. The DOL also included a warning to plan sponsors with respect to the ...
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49
Cozen O'Connor: Department of Labor Issues Strong Caution ...
https://www.cozen.com/news-resources/publications/2022/department-of-labor-issues-strong-caution-on-use-of-cryptocurrencies-in-401-k-plans
Rob Kaplan discusses the DOL's compliance release that provides ... in cryptocurrencies through a brokerage window should “expect to be ...
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https://www.cozen.com/news-resources/publications/2022/department-of-labor-issues-strong-caution-on-use-of-cryptocurrencies-in-401-k-plans
Rob Kaplan discusses the DOL's compliance release that provides ... in cryptocurrencies through a brokerage window should “expect to be ...
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50
Brokerage Windows for Defined Contribution Plans
https://uk.practicallaw.thomsonreuters.com/0-554-3313?transitionType=Default&contextData=(sc.Default)
Analyzing Fiduciary Liability: Selecting ERISA Plan Investment Funds · DOL Provides Guidance on Providing 401(k) Plan Investments in Cryptocurrencies • Published ...
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https://uk.practicallaw.thomsonreuters.com/0-554-3313?transitionType=Default&contextData=(sc.Default)
Analyzing Fiduciary Liability: Selecting ERISA Plan Investment Funds · DOL Provides Guidance on Providing 401(k) Plan Investments in Cryptocurrencies • Published ...
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51
Compliance Assistance Release No. 2022-01 – 401(k) Plan ...
https://www.fidelity.com/bin-public/060_www_fidelity_com/documents/about-fidelity/Letter_to_DOL_on_CAR_2022-01.pdf
https://tax.thomsonreuters.com/blog/dol-to-investigate-401k-plans- ... type of investment made available in a brokerage window, the CAR ...
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https://www.fidelity.com/bin-public/060_www_fidelity_com/documents/about-fidelity/Letter_to_DOL_on_CAR_2022-01.pdf
https://tax.thomsonreuters.com/blog/dol-to-investigate-401k-plans- ... type of investment made available in a brokerage window, the CAR ...
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52
401(k) Group Sues DOL Over Crypto Crackdown | ThinkAdvisor
https://www.thinkadvisor.com/2022/06/02/401k-group-sues-dol-over-crypto-crackdown/
Fiduciaries are not required to monitor investments in brokerage windows, ForUsAll argues. ForUsAll says it has been targeted by the department.
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https://www.thinkadvisor.com/2022/06/02/401k-group-sues-dol-over-crypto-crackdown/
Fiduciaries are not required to monitor investments in brokerage windows, ForUsAll argues. ForUsAll says it has been targeted by the department.
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53
DOL Requests Comments on Brokerage Windows in 401(k ...
https://www.winston.com/en/benefits-blast/dol-requests-comments-on-brokerage-windows-in-401-k-plans.html
Monitoring of Investments. The DOL is interested to learn how plan fiduciaries monitor investments made through brokerage windows (e.g., by ...
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https://www.winston.com/en/benefits-blast/dol-requests-comments-on-brokerage-windows-in-401-k-plans.html
Monitoring of Investments. The DOL is interested to learn how plan fiduciaries monitor investments made through brokerage windows (e.g., by ...
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54
in Retirement Plans - What Plan Sponsors Should Consider
https://www.lazardassetmanagement.com/docs/-m0-/160465/DCRising_CryptoInRetirementPlans-WhatPlanSponsors.pdf
DOL Guidance – Fiduciary Obligations. 2. DOL Guidance –. Concerns with Crypto + Brokerage Windows. 3. Steps for Plan Sponsors.
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https://www.lazardassetmanagement.com/docs/-m0-/160465/DCRising_CryptoInRetirementPlans-WhatPlanSponsors.pdf
DOL Guidance – Fiduciary Obligations. 2. DOL Guidance –. Concerns with Crypto + Brokerage Windows. 3. Steps for Plan Sponsors.
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55
Recent DOL Guidance Raises Concerns About ...
https://www.sidley.com/en/insights/newsupdates/2022/03/recent-dol-guidance-raises-concerns-about-cryptocurrency-investment-options-in-401k-plans
... plan fiduciaries who have included cryptocurrencies in investment options or allowed such investments through brokerage windows will ...
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https://www.sidley.com/en/insights/newsupdates/2022/03/recent-dol-guidance-raises-concerns-about-cryptocurrency-investment-options-in-401k-plans
... plan fiduciaries who have included cryptocurrencies in investment options or allowed such investments through brokerage windows will ...
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56
DOL warns 401(k) plan fiduciaries about offering ... - HR Dive
https://www.hrdive.com/news/dol-warns-401k-plan-fiduciaries-about-offering-cryptocurrency-investments/620428/
“The plan fiduciaries responsible for overseeing such investment options or allowing such investments through brokerage windows should ...
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https://www.hrdive.com/news/dol-warns-401k-plan-fiduciaries-about-offering-cryptocurrency-investments/620428/
“The plan fiduciaries responsible for overseeing such investment options or allowing such investments through brokerage windows should ...
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57
The DOL Warns Fiduciaries About Crypto - Eckert Seamans
https://www.eckertseamans.com/legal-updates/the-dol-warns-fiduciaries-about-crypto
Plan fiduciaries may be considering whether cryptocurrencies can be made available to participants through a plan's brokerage window. A ...
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https://www.eckertseamans.com/legal-updates/the-dol-warns-fiduciaries-about-crypto
Plan fiduciaries may be considering whether cryptocurrencies can be made available to participants through a plan's brokerage window. A ...
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58
DOL guidance on brokerage windows adds clarity | BenefitsPRO
https://www.benefitspro.com/2012/09/10/dol-guidance-on-brokerage-windows-adds-clarity/
The DOL also noted that, in certain circumstances, investments selected by participants through brokerage windows or other investment ...
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https://www.benefitspro.com/2012/09/10/dol-guidance-on-brokerage-windows-adds-clarity/
The DOL also noted that, in certain circumstances, investments selected by participants through brokerage windows or other investment ...
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59
Cryptocurrency Investments and the DOL's Warning - BDO USA
https://www.bdo.com/insights/assurance/employee-benefit-plan-audits/plan-sponsor-alert-cryptocurrency-investments-and
The DOL's strongly worded compliance release may cause plan sponsors to rethink cryptocurrencies as investment options and the use of brokerage windows in ...
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https://www.bdo.com/insights/assurance/employee-benefit-plan-audits/plan-sponsor-alert-cryptocurrency-investments-and
The DOL's strongly worded compliance release may cause plan sponsors to rethink cryptocurrencies as investment options and the use of brokerage windows in ...
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60
Brokerage Windows in Retirement Plans - Dechert LLP
https://www.dechert.com/knowledge/publication/2015/3/brokerage-windows-in-retirement-plans.html
Can Further Guidance Broker Peace? On Aug. 21, 2014, the U.S. Department of Labor (DOL) published a request for information (RFI) regarding ...
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https://www.dechert.com/knowledge/publication/2015/3/brokerage-windows-in-retirement-plans.html
Can Further Guidance Broker Peace? On Aug. 21, 2014, the U.S. Department of Labor (DOL) published a request for information (RFI) regarding ...
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61
Alan Levine Quoted in Bloomberg Law on Possibility of ...
https://www.morrisoncohen.com/news-page?itemid=8962
Alan Levine Quoted in Bloomberg Law on Possibility of Government Brokerage Window Regulation After DOL Warned Against Inclusion of ...
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https://www.morrisoncohen.com/news-page?itemid=8962
Alan Levine Quoted in Bloomberg Law on Possibility of Government Brokerage Window Regulation After DOL Warned Against Inclusion of ...
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62
DOL asked to back off brokerage rules | Pensions & Investments
https://www.pionline.com/article/20141208/PRINT/312089957/dol-asked-to-back-off-brokerage-rules
Current regulations governing the use and administration of brokerage windows among larger plans — the ones that offer brokerage accounts as a ...
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https://www.pionline.com/article/20141208/PRINT/312089957/dol-asked-to-back-off-brokerage-rules
Current regulations governing the use and administration of brokerage windows among larger plans — the ones that offer brokerage accounts as a ...
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63
Growing Concern at the Department of Labor Around ...
https://hawleytroxell.com/2012/08/growing-concern-at-the-department-of-labor-around-brokerage-windows/
Brokerage windows offered through participant directed retirement plans ... possible future DOL action with respect to these arrangements.
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https://hawleytroxell.com/2012/08/growing-concern-at-the-department-of-labor-around-brokerage-windows/
Brokerage windows offered through participant directed retirement plans ... possible future DOL action with respect to these arrangements.
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64
DOL Relents on De Facto DIA's in Brokerage Windows
https://benefitslink.com/boards/index.php?/topic/51799-dol-relents-on-de-facto-dias-in-brokerage-windows/
Is the platform or the brokerage window, self-directed brokerage account, or similar plan arrangement a designated investment alternative for ...
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https://benefitslink.com/boards/index.php?/topic/51799-dol-relents-on-de-facto-dias-in-brokerage-windows/
Is the platform or the brokerage window, self-directed brokerage account, or similar plan arrangement a designated investment alternative for ...
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65
DOL Questions 401(k) Brokerage Windows - Forbes
https://www.forbes.com/sites/ashleaebeling/2014/08/28/dol-questions-401k-brokerage-windows/
The DOL wants to know more about brokerage window costs, the role of advisers, and employers' fiduciary duties. Some sample questions: Is there ...
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https://www.forbes.com/sites/ashleaebeling/2014/08/28/dol-questions-401k-brokerage-windows/
The DOL wants to know more about brokerage window costs, the role of advisers, and employers' fiduciary duties. Some sample questions: Is there ...
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66
Fiduciary Update May 2022 | Retirement Plan - CAPTRUST
https://www.captrust.com/fiduciary-update-may-2022/
The DOL also addressed the possible availability of cryptocurrencies in self-directed brokerage windows, which is addressed below.
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https://www.captrust.com/fiduciary-update-may-2022/
The DOL also addressed the possible availability of cryptocurrencies in self-directed brokerage windows, which is addressed below.
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67
Department of Labor Issues New Guidance on Cryptocurrency ...
https://www.burnslev.com/news/department-of-labor-issues-new-guidance-on-cryptocurrency-in-retirement-plans
The DOL admonished plan fiduciaries to expect inquiries into cryptocurrency ... in retirement plans, including through brokerage windows.
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https://www.burnslev.com/news/department-of-labor-issues-new-guidance-on-cryptocurrency-in-retirement-plans
The DOL admonished plan fiduciaries to expect inquiries into cryptocurrency ... in retirement plans, including through brokerage windows.
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68
ERISA Advisory Council Hearing - cieba
https://www.cieba.org/erisa-advisory-council-hearing
Brokerage windows: low utilization but important participation tool. ... encouraged the Council to report to the DOL that while windows help participation, ...
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https://www.cieba.org/erisa-advisory-council-hearing
Brokerage windows: low utilization but important participation tool. ... encouraged the Council to report to the DOL that while windows help participation, ...
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69
Plan Sponsor Consideration for Offering a Self-Directed ...
http://www2.co.fresno.ca.us/1010/DCMC/Meetings/2017/2017.08.24/Item%208%20-%20NWCM%20Report%20on%20Self%20Directed%20Brokerage%20Accounts.pdf
Offering a brokerage window is a fiduciary decision. ... Regarding disclosures, in Field Assistant Bulletin 2012-02R, the DOL explained that the plan ...
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http://www2.co.fresno.ca.us/1010/DCMC/Meetings/2017/2017.08.24/Item%208%20-%20NWCM%20Report%20on%20Self%20Directed%20Brokerage%20Accounts.pdf
Offering a brokerage window is a fiduciary decision. ... Regarding disclosures, in Field Assistant Bulletin 2012-02R, the DOL explained that the plan ...
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70
DOL Expresses Extreme Skepticism About Allowing 401(k ...
https://www.kslaw.com/news-and-insights/dol-expresses-extreme-skepticism-about-allowing-401k-plan-participants-to-invest-in-cryptocurrency
In addition to examining whether there is a direct investment option, plan fiduciaries should review brokerage window restrictions and consider ...
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https://www.kslaw.com/news-and-insights/dol-expresses-extreme-skepticism-about-allowing-401k-plan-participants-to-invest-in-cryptocurrency
In addition to examining whether there is a direct investment option, plan fiduciaries should review brokerage window restrictions and consider ...
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71
Federal Register/Vol. 79, No. 162/Thursday, August 21, 2014 ...
https://www.govinfo.gov/content/pkg/FR-2014-08-21/pdf/2014-19832.pdf
Email: e-ORI@dol.gov. Include RIN. 1210–AB59 (Brokerage Windows RFI) in the subject line of the message. • Mail: Office of Regulations and.
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https://www.govinfo.gov/content/pkg/FR-2014-08-21/pdf/2014-19832.pdf
Email: e-ORI@dol.gov. Include RIN. 1210–AB59 (Brokerage Windows RFI) in the subject line of the message. • Mail: Office of Regulations and.
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72
DOL Compliance Guidance on Plan Investments in Digital ...
https://www.srz.com/resources/dol-compliance-guidance-on-plan-investments-in-digital-assets.html
In the Release, the DOL expressed “serious concerns” about. ... often including a “brokerage window,” which allows participants to invest in ...
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https://www.srz.com/resources/dol-compliance-guidance-on-plan-investments-in-digital-assets.html
In the Release, the DOL expressed “serious concerns” about. ... often including a “brokerage window,” which allows participants to invest in ...
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73
Labor Department warning opens divide on crypto in 401(k ...
https://www.rollcall.com/2022/06/28/labor-department-warning-opens-divide-on-crypto-in-401k-plans/
“The DOL plays several important roles that serve American workers ... or allow a self-directed brokerage window, which lets employees pick ...
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https://www.rollcall.com/2022/06/28/labor-department-warning-opens-divide-on-crypto-in-401k-plans/
“The DOL plays several important roles that serve American workers ... or allow a self-directed brokerage window, which lets employees pick ...
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74
Podcast: How Would an ESG-Friendly DOL Final Rule ...
https://www.ropesgray.com/en/newsroom/podcasts/2022/january/podcast-how-would-esg-friendly-dol-final-rule-change-investment-marketplace-erisa-plans
By offering a brokerage window, a plan fiduciary could help facilitate participant access to ESG-themed funds, and perhaps it would even ...
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https://www.ropesgray.com/en/newsroom/podcasts/2022/january/podcast-how-would-esg-friendly-dol-final-rule-change-investment-marketplace-erisa-plans
By offering a brokerage window, a plan fiduciary could help facilitate participant access to ESG-themed funds, and perhaps it would even ...
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75
New Developments and Upcoming Required Changes in ...
https://www.butlersnow.com/news-and-events/new-developments-and-upcoming-required-changes-in-defined-contribution-retirement-plans
... brokerage “window” and not the investments acquired under the brokerage option ... The unmistakable message from the DOL guidance is that ERISA-governed ...
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https://www.butlersnow.com/news-and-events/new-developments-and-upcoming-required-changes-in-defined-contribution-retirement-plans
... brokerage “window” and not the investments acquired under the brokerage option ... The unmistakable message from the DOL guidance is that ERISA-governed ...
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76
Participant Fee Disclosures for Brokerage Accounts in 401(k ...
http://www.ejreynoldsinc.com/wp-content/uploads/2014/03/EJR-Blogs-Participant-Fee-Disclosures-for-Brokerage-Accounts.pdf
Guidelines for 404(a)(5) Compliance on Brokerage Window Accounts in ... This valuable DOL bulletin answers 38 Frequently Asked Questions from plan ...
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http://www.ejreynoldsinc.com/wp-content/uploads/2014/03/EJR-Blogs-Participant-Fee-Disclosures-for-Brokerage-Accounts.pdf
Guidelines for 404(a)(5) Compliance on Brokerage Window Accounts in ... This valuable DOL bulletin answers 38 Frequently Asked Questions from plan ...
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77
Cryptocurrency Guidance for 401(k) Plan Fiduciaries
https://blog.ifebp.org/cryptocurrency-guidance-for-401k-plan-fiduciaries/
DOL expects plan fiduciaries to respond about their decisions to make cryptocurrency investments ... Brokerage Window or In-Plan Offering?
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https://blog.ifebp.org/cryptocurrency-guidance-for-401k-plan-fiduciaries/
DOL expects plan fiduciaries to respond about their decisions to make cryptocurrency investments ... Brokerage Window or In-Plan Offering?
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78
DOL Modifies Position on Fee Disclosures of Investments ...
https://www.benefitslawadvisor.com/2012/08/articles/erisa-plan-administration/dol-modifies-position-on-fee-disclosures-of-investments-available-through-brokerage-windows/
If, through a brokerage window or similar arrangement, non-designated investment alternatives available under a plan are selected by ...
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https://www.benefitslawadvisor.com/2012/08/articles/erisa-plan-administration/dol-modifies-position-on-fee-disclosures-of-investments-available-through-brokerage-windows/
If, through a brokerage window or similar arrangement, non-designated investment alternatives available under a plan are selected by ...
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79
Regulatory Activities | Investment Company Institute
https://www.ici.org/policy/retirement-security/regulatory
Institute Responds to DOL RFI on Brokerage Windows · ICI Comment Letter in Response to DOL's Request for Comment on Its Target Date Fund Disclosure Proposal ...
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https://www.ici.org/policy/retirement-security/regulatory
Institute Responds to DOL RFI on Brokerage Windows · ICI Comment Letter in Response to DOL's Request for Comment on Its Target Date Fund Disclosure Proposal ...
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80
Dept of Labor Sued in Crypto 401(k) Guidance Lawsuit
https://www.fisherphillips.com/news-insights/dept-of-labor-crypto-401k-guidance-lawsuit.html
In March, the DOL's Employee Benefits Security Administration issued a ... options or allowing such investments through brokerage windows.
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https://www.fisherphillips.com/news-insights/dept-of-labor-crypto-401k-guidance-lawsuit.html
In March, the DOL's Employee Benefits Security Administration issued a ... options or allowing such investments through brokerage windows.
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81
DOL Stance on Cryptocurrency in 401(k) Plans Becomes a ...
https://bracewell.com/insights/dol-stance-cryptocurrency-401k-plans-becomes-political-football
... which laid out the DOL's skepticism on the prudence of cryptocurrency investments in 401(k) plans, including through brokerage windows ...
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https://bracewell.com/insights/dol-stance-cryptocurrency-401k-plans-becomes-political-football
... which laid out the DOL's skepticism on the prudence of cryptocurrency investments in 401(k) plans, including through brokerage windows ...
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82
Employee Benefit Plan Review - Ice Miller LLP
https://www.icemiller.com/MediaLibraries/icemiller.com/IceMiller/PDFs/publications/Crypto-Blachman.pdf
in a brokerage window. The DOL's potential expansion of fiduciary duties to encompass the invest- ment options in brokerage win-.
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https://www.icemiller.com/MediaLibraries/icemiller.com/IceMiller/PDFs/publications/Crypto-Blachman.pdf
in a brokerage window. The DOL's potential expansion of fiduciary duties to encompass the invest- ment options in brokerage win-.
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83
DOL crypto guidance: tension is coming to a head for self ...
https://www.youtube.com/watch?v=g_fpCt8uX7E
Broadcast Retirement Network
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https://www.youtube.com/watch?v=g_fpCt8uX7E
Broadcast Retirement Network
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84
DOL Warns Employers About Including Cryptocurrency in 401 ...
https://www.parkerpoe.com/news/2022/05/dol-warns-employers-about-including-cryptocurrency-in-401k
In reaction to this move, the Department of Labor (DOL) pointed to ... or through a brokerage window raises questions over fulfillment of ...
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https://www.parkerpoe.com/news/2022/05/dol-warns-employers-about-including-cryptocurrency-in-401k
In reaction to this move, the Department of Labor (DOL) pointed to ... or through a brokerage window raises questions over fulfillment of ...
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85
DOL Backs Off Controversial Brokerage Window Plan.
https://www.thefreelibrary.com/DOL+Backs+Off+Controversial+Brokerage+Window+Plan-a0298214679
Free Online Library: DOL Backs Off Controversial Brokerage Window Plan. by "National Underwriter Life & Health Breaking News"; Insurance Employee benefits.
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https://www.thefreelibrary.com/DOL+Backs+Off+Controversial+Brokerage+Window+Plan-a0298214679
Free Online Library: DOL Backs Off Controversial Brokerage Window Plan. by "National Underwriter Life & Health Breaking News"; Insurance Employee benefits.
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86
Has the DOL Closed the Door on ESG Investing in ERISA ...
https://www.seyfarth.com/news-insights/has-the-dol-closed-the-door-on-esg-investing-in-erisa-plans.html
So while a brokerage window may provide a path to allowing participants to invest based on non-pecuniary factors (such as ESG or religious-based ...
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https://www.seyfarth.com/news-insights/has-the-dol-closed-the-door-on-esg-investing-in-erisa-plans.html
So while a brokerage window may provide a path to allowing participants to invest based on non-pecuniary factors (such as ESG or religious-based ...
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87
To the Moon After All? DOL Targets Cryptocurrency in ...
https://www.swlaw.com/blog/blockchain-digital-currency/2022/04/04/to-the-moon-after-all-dol-targets-cryptocurrency-in-retirement-plans/
... to this asset class – either in a plan's investment lineup or via a brokerage window – may run contrary to ERISA's fiduciary principles.
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https://www.swlaw.com/blog/blockchain-digital-currency/2022/04/04/to-the-moon-after-all-dol-targets-cryptocurrency-in-retirement-plans/
... to this asset class – either in a plan's investment lineup or via a brokerage window – may run contrary to ERISA's fiduciary principles.
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88
Is Cryptocurrency Too Risky for 401(k) Plans? The ...
https://cohenbuckmann.com/insights/2022/10/25/is-cryptocurrency-too-risky-for-401k-plans-the-contoversy-continues
In that guidance, the DOL not only suggested-without actually saying so- ... ForUsAll, which offers its program through a brokerage window, ...
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https://cohenbuckmann.com/insights/2022/10/25/is-cryptocurrency-too-risky-for-401k-plans-the-contoversy-continues
In that guidance, the DOL not only suggested-without actually saying so- ... ForUsAll, which offers its program through a brokerage window, ...
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89
Department of Labor Withdraws Controversial Guidance On ...
https://www.benefitsnotes.com/2012/08/06/department-of-labor-withdraws-controversial-guidance-on-self-directed-brokerage-accounts-in-401k-plans/
2012-02 (http://www.dol.gov/ebsa/regs/fab2012-2.html) concerning the ... The existence of a self-directed brokerage window does not impose ...
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https://www.benefitsnotes.com/2012/08/06/department-of-labor-withdraws-controversial-guidance-on-self-directed-brokerage-accounts-in-401k-plans/
2012-02 (http://www.dol.gov/ebsa/regs/fab2012-2.html) concerning the ... The existence of a self-directed brokerage window does not impose ...
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90
EBSA News Release
https://www.lexissecuritiesmosaic.com/gateway/dol/news-releases/opa_media_press_ebsa_EBSA20141523.htm
K@dol.gov or Surbey. ... on use of brokerage windows in 401(k) plans ... offer participants access to brokerage windows in addition to, ...
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https://www.lexissecuritiesmosaic.com/gateway/dol/news-releases/opa_media_press_ebsa_EBSA20141523.htm
K@dol.gov or Surbey. ... on use of brokerage windows in 401(k) plans ... offer participants access to brokerage windows in addition to, ...
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91
401(k) Climate Change and Crypto Considerations: DOL ...
https://www.carltonfields.com/insights/expect-focus/2022/401k-climate-change-and-crypto-considerations
What should the DOL do to protect retirement plan and pension balances from the ... even if it is only permitted through a brokerage window, ...
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https://www.carltonfields.com/insights/expect-focus/2022/401k-climate-change-and-crypto-considerations
What should the DOL do to protect retirement plan and pension balances from the ... even if it is only permitted through a brokerage window, ...
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92
DOL Requests Information Regarding Use of Brokerage ...
https://www.goodwinlaw.com/publications/2014/08/20140826/26_05
Some plans make investments available through Brokerage Windows in addition to, or in lieu of, Designated Investment Alternatives. Investments ...
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https://www.goodwinlaw.com/publications/2014/08/20140826/26_05
Some plans make investments available through Brokerage Windows in addition to, or in lieu of, Designated Investment Alternatives. Investments ...
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93
Adding A Self-Directed Brokerage Window To Your 401(k)
https://blog.forusall.com/401k-brokerage-window/
Is a brokerage window, also known as a self-directed option or ... the DOL may not spell out a prohibition against the brokerage window, ...
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https://blog.forusall.com/401k-brokerage-window/
Is a brokerage window, also known as a self-directed option or ... the DOL may not spell out a prohibition against the brokerage window, ...
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94
DOL Revises Guidance on Participant Fee Disclosures for ...
https://www.employeebenefitsblog.com/2012/08/dol-revises-guidance-on-participant-fee-disclosures-for-brokerage-window-investments/
The U.S. Department of Labor (DOL) recently issued new and welcome ... its controversial guidance on fee disclosures for brokerage windows, ...
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https://www.employeebenefitsblog.com/2012/08/dol-revises-guidance-on-participant-fee-disclosures-for-brokerage-window-investments/
The U.S. Department of Labor (DOL) recently issued new and welcome ... its controversial guidance on fee disclosures for brokerage windows, ...
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95
More Plans offering Brokerage Windows - 401kTV
https://401ktv.com/plans-offering-brokerage-windows/
The DOL will look carefully, though, if a plan uses a brokerage window for a significant percentage of assets to potential skate the prudent ...
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https://401ktv.com/plans-offering-brokerage-windows/
The DOL will look carefully, though, if a plan uses a brokerage window for a significant percentage of assets to potential skate the prudent ...
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96
DOL Retreats on Brokerage Window “Safe Harbor”
https://buck.com/wp-content/uploads/2012/07/fyi-2012-0731a-DOL-Retreats-on-Brokerage-Window-Safe-Harbor.pdf
The DOL issued an update to prior guidance on fiduciary responsibility for participant investments through brokerage windows.
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https://buck.com/wp-content/uploads/2012/07/fyi-2012-0731a-DOL-Retreats-on-Brokerage-Window-Safe-Harbor.pdf
The DOL issued an update to prior guidance on fiduciary responsibility for participant investments through brokerage windows.
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97
DOL Eliminates Fee Disclosure Requirement for Brokerage ...
https://casetext.com/analysis/dol-eliminates-fee-disclosure-requirement-for-brokerage-windows-1
For example, all participant-directed investments under defined contribution plans, including brokerage windows and similar arrangements, remain ...
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https://casetext.com/analysis/dol-eliminates-fee-disclosure-requirement-for-brokerage-windows-1
For example, all participant-directed investments under defined contribution plans, including brokerage windows and similar arrangements, remain ...
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