• ERISA Requirements for Disclosures Related to Brokerage Accounts

    by Fred Reish and Bruce Ashton, Drinker Biddle & Reath LLP


    Broker-dealers face a number of challenges with their ERISA plan customers under the new 408(b)(2) disclosure regulation. Perhaps the most difficult problem is the disclosure requirement for individual brokerage accounts in the 401(k) plans. The purpose of this article is to bring some clarity to that "problem."

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