Compliance Consult ‘Window’ of Opportunity Brokerage accounts open up possibilities for service—but also for PTs.
Compliance July 12th, 2021 Industry Groups Say No New Regulations Needed Regarding Brokerage Windows The ERISA Advisory Council was told brokerage windows serve a special purpose and onerous regulations could discourage their use.
The Markets June 1st, 2018 Participants in Advised SDBAs Have More Diversified Allocation A report based on data from participants in the Schwab Personal Choice Retirement Account says 18.7% of SDBA accounts were managed by an independent investment adviser.
Products April 25th, 2018 Vanguard Enhances Retirement Readiness Tool and Other Offerings A new brokerage window option allows advisers with relationships with 401(k) participants have access to participant accounts.