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Alternative Market Briefing

DOL proposes regulation on alternative investments in 401(k) plans
Thursday, April 02, 2026

By Opalesque:

On March 30, 2026, the U.S. Department of Labor (DOL) issued a proposed regulation called "Fiduciary Duties in Selecting Designated Investment Alternatives," aimed at expanding access to alternative investments within 401(k) plans* while clarifying fiduciary obligations and reducing litigation risk.

According to a memo by law firm Seward & Kissel LLP, the Proposal opens a 60-day public comment period, during which stakeholders - including plan sponsors, asset managers, and legal practitioners - may submit feedback to the DOL.

Background and purpose

The Proposal responds directly to a 2025 Executive Order from President Trump, which directed the DOL to broaden access to alternative assets in 401(k) plans and curb what it characterised as "frivolous" litigation.

The DOL anticipates the regulation will lead many 401(k) plans to incorporate alternative asset exposure into their investment menus. The Proposal also reaffirms the DOL's longstanding view that ERISA** neither mandates nor prohibits any particular type of investment within pension or 401(k) plans.

Scope of the pr......................

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