Plan Distribution and Rollover Guidance After Chamber of Commerce v. US Department of Labor

An Analysis of the Deseret Letter

September 2018

This paper examines how a plan service provider (such as a trustee, record-keeper, broker-dealer, or investment adviser) can offer participant-level distribution and rollover guidance under the US Department of Labor’s (DOL’s) Advisory Opinion to Deseret Mutual Benefit Administrators (the Deseret Letter) in compliance with the Employee Retirement Income Security Act (ERISA).

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