Los Angeles partners Fred Reish and Bruce Ashton authored a white paper for TD Ameritrade titled, “Fiduciary Considerations in Offering a Brokerage Window.”

Fred and Bruce discuss the fiduciary process for deciding whether to offer a brokerage window and selecting the provider of the window; the requirements under the new participant disclosure rules; and the implications of the fiduciaries or a participant selecting an RIA to serve as an investment manager or advisor for a participant’s individual brokerage window.

To read the entire article, click here.



Source: TD Ameritrade White Paper