Compliance
Investing
Products
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.