SEC Guidance Clarifies Insider Trading Rules for 401(k) Brokerage Windows
The Securities and Exchange Commission clarified what applies when a 401(k) plan participant subject to insider trading rules sells company...
Tag: SDBAs
Compliance Consult
‘Window’ of Opportunity
Brokerage accounts open up possibilities for service—but also for PTs.
Industry Groups Say No New Regulations Needed Regarding Brokerage Windows
The ERISA Advisory Council was told brokerage windows serve a special purpose and onerous regulations could discourage their use.
Participants in Advised SDBAs Have More Diversified Allocation
A report based on data from participants in the Schwab Personal Choice Retirement Account says 18.7% of SDBA accounts were managed by an independent investment adviser.
Vanguard Enhances Retirement Readiness Tool and Other Offerings
A new brokerage window option allows advisers with relationships with 401(k) participants have access to participant accounts.