Director, Office of Regulations and Interpretations

1210-AB59 201704 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 began this review by issuing a Request for Information.

EBSA is withdrawing this entry from the agenda at this time. Withdrawal of an entry does not necessarily mean that EBSA will not proceed with the rulemaking in the future. Withdrawal allows EBSA to assess the subject matter further and determine whether rulemaking in this area is appropriate. Following such an assessment, EBSA may determine that rulemaking is appropriate. If that determination is made, this or a similar matter will be included in succeeding semiannual agenda.

]]> Other Significant Previously Published in The Unified Agenda Completed Actions No No None 29 U.S.C. 1135 ERISA sec 505 29 U.S.C. 1104 ERISA sec 404 No Request for Information (RFI) 08/21/2014 79 FR 49469 RFI Comment Period End 11/19/2014 Withdrawn 03/30/2017 No None No No No Jeffrey Turner J. Director, Office of Regulations and Interpretations 1210 Employee Benefits Security Administration EBSA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