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Brokerage Windows in 401k Plans: Do Fiduciaries Have to Look Inside?, 401(k) Specialists

September 10, 2018

401(k) Specialists publishes Morgan Lewis partner Michael Richman’s lawflash on the potential of brokerage window options for participant-directed 401(k) plans. He states in the article that “while the plan’s menu may be limited to 10 to 25 investment alternatives, depending on the particular plan … a brokerage window can provide access to several thousand mutual funds as well as—depending on the particular arrangement— the ability to trade in individual stocks, bonds, options or other securities.”

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