Director, Office of Regulations and Interpretations

1210-AB59 201410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 1210 Employee Benefits Security Administration EBSA 1200 Department of Labor DOL Standards for Brokerage Windows

The Employee Benefits Security Administration (EBSA) will review the use of brokerage windows in participant-directed individual account retirement plans covered by the Employee Retirement Income Security Act of 1974 (ERISA). Instead of offering a limited number of investment options chosen by a plan fiduciary, a brokerage window may give plan participants access to a broad range of diverse investment alternatives available on the market. This rulemaking project will explore whether, and to what extent, regulatory guidance on fiduciary requirements and regulatory safeguards for such arrangements are appropriate for plans that allow participants to direct investments through brokerage windows. EBSA expects to begin this review by issuing a Request for Information.

]]> Other Significant Previously Published in The Unified Agenda Prerule Stage Undetermined Undetermined Not Yet Determined 29 USC 1135 ERISA Sec 505 29 USC 1104 ERISA Sec 404 No Request for Information 08/21/2014 79 FR 49469 Request For Information Comment Period End 11/19/2014 Undetermined None No No No Jeffrey Turner J. Director, Office of Regulations and Interpretations 1210 Employee Benefits Security Administration EBSA 202 693-8500 turner.jeffery@dol.gov N 5669, 200 Constitution Avenue NW, FP Building, Room N-5655, Washington DC 20210