Investing | August 1st, 2023 What’s in the Window? The Department of Labor’s March 2022 attempt to regulate cryptocurrency investments has left numerous outstanding questions about its effect on...
Data and Research | March 14th, 2023 Self-Directed Account Balances Rise in Q4 Average balances increased in the fourth quarter, according to the Charles Schwab report on employees invested in the Schwab Personal...
Compliance | February 17th, 2023 Tuberville Returns With Call for Crypto Access in 401(k) Plans The Republican senator also argued that the DOL should not be dictating what investments may be offered through the self-directed...
Investing | May 20th, 2022 Plan Progress Webinar: Managing the DC Plan Investment Menu Providing retirement plan participants with access to a self-directed brokerage window demands the examination of plan demographics to determine if...
Compliance | February 22nd, 2022 Council Reports Some Concerns About Brokerage Windows However, it concluded that the costs outweigh the benefits of additional regulations, except in the case of ‘brokerage window only’...
Compliance | July 12th, 2021 Potential for SDBA Regulations Getting Renewed Attention Brokerage windows are useful tools to meet specific participants’ investing needs and the DOL should make it easier, not harder,...
Opinions | May 3rd, 2019 Barry’s Pickings: DOL’s Fiduciary Theory: Fundamentally Incoherent Michael Barry, president of O3 Plan Advisory Services LLC, discusses the inconsistencies in the Department of Labor’s (DOL)’s theory of...