Need experts on brokerage options in 401(k)s

Reporter: Jeff Brown



Deadline: Apr 10, 2017 12:00 pm

For a RUSH JOB, I’m looking for financial advisors, plan
administrators, trustees and academics with insights into the use of brokerage options in 401(k)s and similar plans. How common is this option today? When I first wrote about it a number of years ago, I was told it was most common in plans for professionals like law partners. Has it become more widespread?
Why or why not? What are the pros and cons from the employer’s perspective? Do they worry employees will make foolish investments? Is it a plus for attracting and keeping good employees? Are employers protecteD from liability if an employee’s choices go sour? Is it common for plans to place some restrictions in brokerage options like no stock options or futures? What are the pros and cons from the employee’s perspective? I imagine a savvy employee might like wide-open investing options, but that others might find it daunting. Is that so? Is it true that a brokerage option is generally an additional choice alongside ordinary funds and target-date funds? Are there any cases where the brokerage option is the only choice? What should employees look out for? Are fees and commissions an issue? Is there any data on how well or poorly employees have used this opportunity? What else should I be asking Requirements: I prefer responses by email containing usable content and quotes, the source’s contact info, full name, title, firm and location.

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