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Investment Issues (Including Self-Directed)

561 topics in this forum

  1. Does a recordkeeper limit the percentage of a participant’s account that may be invested in a fund?

    By Peter Gulia,
    • 14 replies
    • 997 views

  2. Expansion of Real Estate Investments under a 401(k) Plan

    By Below Ground,
    • 6 replies
    • 2.3k views

  3. 401(k) Plan with 20 participants wants to purchase Private Investment

    By Dougsbpc,
    • 6 replies
    • 422 views

  4. Which target-year fund is a participant’s default?

    By Peter Gulia,
    • 9 replies
    • 3.9k views

  5. There is no market for an asset in the trust

    By Guest Iwonder,
    • 16 replies
    • 6.3k views

  6. Rent Payments From Trust Investments

    By Below Ground,
    • 4 replies
    • 370 views

  7. Defined benefit plans - borrowing

    By M_2015,
    • 0 replies
    • 214 views

  8. 408(b)(17) service provider exemption - are directed trustees considered "fiduciaries"

    By M_2015,
    • 1 reply
    • 294 views

  9. Investment advisor is contacted by a participant for individual investment advice for the participant's personal asset portfolio

    By With Appreciation....,
    • 3 replies
    • 807 views

  10. Which investments used for retirement plans have withdrawal restrictions or exit charges?

    By Peter Gulia,
    • 9 replies
    • 689 views

  11. Unqualified Asset - Private Equity/Stock in 401k Plan

    By AllThingsForGood,
    • 12 replies
    • 1.1k views

  12. Would anyone dislike a zero-expense investment fund?

    By Peter Gulia,
    • 6 replies
    • 2.4k views

  13. Investment Advice for Individual Participants ... from Plan Investment Advisor

    By Lois Baker,
    • 3 replies
    • 729 views

  14. Investment Application... Solo plan... "is plan an ERISA plan?"

    By Basically,
    • 3 replies
    • 1.1k views

  15. “401(k) Crypto Case Crumbles in Federal Court”

    By Peter Gulia,
    • 3 replies
    • 1k views
    • Bri
    • Bri

  16. Is it difficult to implement an automatic-contribution arrangement for a brokerage-window-only plan?

    By Peter Gulia,
    • 4 replies
    • 682 views

  17. Real Estate Investment in a Trustee-Directed 401k Plan

    By Santo Gold,
    • 10 replies
    • 1.4k views

  18. Real Estate Investment (under construction) in company plan

    By TPApril,
    • 8 replies
    • 1.3k views

  19. Do you like TIAA’s Target Date Plus model portfolios?

    By Peter Gulia,   
    • 0 replies
    • 657 views

  20. Employer stock in 401(k) Plan

    By Tegernsee,
    • 5 replies
    • 1.7k views

  21. Which recordkeepers offer a mutual-fund-only window?

    By Peter Gulia,
    • 7 replies
    • 931 views

  22. Basic questions on permitting "aggressive" investments

    By Santo Gold,
    • 6 replies
    • 1.3k views

  23. TD Ameritrade SDIB - arggh

    By Bird,
    • 4 replies
    • 2k views

  24. With a brokerage window, does the employer get details on which stocks employees buy and sell?

    By Peter Gulia,
    • 12 replies
    • 2.9k views

  25. Ineligible Assets - Audit Info

    By RestAssured,
    • 9 replies
    • 1.4k views

  26. Onshore of Offshore Investment...

    By Basically,
    • 1 reply
    • 948 views

  27. Investing in a UK based company

    By K-t-F,
    • 4 replies
    • 1.6k views

  28. Prohibited Transaction-son of trustee as investment advisor on 401(k) plan

    By Diane Thompson,
    • 2 replies
    • 1.2k views

  29. How many ERISA-governed plans have at least one participant’s account balance not fed to a recordkeeper’s system?

    By Peter Gulia,
    • 10 replies
    • 1.3k views

  30. Self-directed conversion (plan to IRA)

    By TPApril,
    • 9 replies
    • 1.5k views

  31. TPA partnering with a financial advisor

    By Santo Gold,
    • 7 replies
    • 3.9k views

  32. qdia for self directed

    By TPApril,
    • 11 replies
    • 1.9k views

  33. How do participants get managed-account documents?

    By Peter Gulia,
    • 0 replies
    • 559 views

  34. Private lending for home purchase on a large scale UBTI concer.

    By Owen Meany,   
    • 1 reply
    • 759 views

  35. I Bonds in a qualified plan

    By bvhea,
    • 5 replies
    • 972 views

  36. Leverage with options and UBTI

    By lookatmytaxes,
    • 2 replies
    • 1.2k views

  37. Bank Participation Loans

    By susieQ,
    • 2 replies
    • 725 views

  38. 3(21) and 3(38) fiduciary services

    By Bird,
    • 19 replies
    • 3.2k views

  39. Charging Advisor Fees to Accounts

    By BTG,
    • 5 replies
    • 2.8k views

  40. Which mutual fund providers furnish prospectuses in Spanish?

    By Peter Gulia,
    • 5 replies
    • 1.6k views

  41. Can an ERISA plan invest in a medical marijuana company?

    By Miner88,   
    • 4 replies
    • 1.4k views

  42. Ignore deferred vested former employee accounts in allocating investment earnings and losses?

    By Susan L,
    • 9 replies
    • 1.4k views

  43. Performance Disclosure Question

    By jreinhardt,   
    • 1 reply
    • 1k views

  44. Any Issues with Offering ETFs now?

    By Briandfox,
    • 1 reply
    • 1.2k views

  45. Particpant Direction not followed

    By mgcpension,
    • 2 replies
    • 1.8k views

  46. Self-directed conversions

    By Bird,
    • 7 replies
    • 1.9k views

  47. discriminatory to remove access to an investment?

    By AlbanyConsultant,
    • 2 replies
    • 953 views

  48. How do you invest a retirement plan that does not provide participant-directed investment?

    By Peter Gulia,   
    • 13 replies
    • 1.6k views

  49. ESG and Advisory Responsibilities

    By BruceM,
    • 0 replies
    • 967 views

  50. Can a participant pay her adviser’s fees from her plan account?

    By Peter Gulia,   
    • 11 replies
    • 2.9k views
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