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Investment Issues (Including Self-Directed)

562 topics in this forum

  1. Must a fiduciary consider whether a participant can understand an investment alternative?

    By Peter Gulia,
    • 7 replies
    • 424 views

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

    By Peter Gulia,
    • 14 replies
    • 1.1k views

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

    By Below Ground,
    • 6 replies
    • 2.6k views

  4. 401(k) Plan with 20 participants wants to purchase Private Investment

    By Dougsbpc,
    • 6 replies
    • 564 views

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

    By Peter Gulia,
    • 9 replies
    • 4.1k views

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

    By Guest Iwonder,
    • 16 replies
    • 6.3k views

  7. Rent Payments From Trust Investments

    By Below Ground,
    • 4 replies
    • 435 views

  8. Defined benefit plans - borrowing

    By M_2015,
    • 0 replies
    • 249 views

  9. 408(b)(17) service provider exemption - are directed trustees considered "fiduciaries"

    By M_2015,
    • 1 reply
    • 341 views

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

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

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

    By Peter Gulia,
    • 9 replies
    • 827 views

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

    By AllThingsForGood,
    • 12 replies
    • 1.3k views

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

    By Peter Gulia,
    • 6 replies
    • 2.9k views

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

    By Lois Baker,
    • 3 replies
    • 794 views

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

    By Basically,
    • 3 replies
    • 1.3k views

  16. “401(k) Crypto Case Crumbles in Federal Court”

    By Peter Gulia,
    • 3 replies
    • 1.1k views
    • Bri
    • Bri

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

    By Peter Gulia,
    • 4 replies
    • 765 views

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

    By Santo Gold,
    • 10 replies
    • 1.5k views

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

    By TPApril,
    • 8 replies
    • 1.4k views

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

    By Peter Gulia,   
    • 0 replies
    • 683 views

  21. Employer stock in 401(k) Plan

    By Tegernsee,
    • 5 replies
    • 1.9k views

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

    By Peter Gulia,
    • 7 replies
    • 1k views

  23. Basic questions on permitting "aggressive" investments

    By Santo Gold,
    • 6 replies
    • 1.4k views

  24. TD Ameritrade SDIB - arggh

    By Bird,
    • 4 replies
    • 2.2k views

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

    By Peter Gulia,
    • 12 replies
    • 3.2k views

  26. Ineligible Assets - Audit Info

    By RestAssured,
    • 9 replies
    • 1.5k views

  27. Onshore of Offshore Investment...

    By Basically,
    • 1 reply
    • 980 views

  28. Investing in a UK based company

    By K-t-F,
    • 4 replies
    • 1.7k views

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

    By Diane Thompson,
    • 2 replies
    • 1.2k views

  30. 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
    • 1.4k views

  31. Self-directed conversion (plan to IRA)

    By TPApril,
    • 9 replies
    • 1.6k views

  32. TPA partnering with a financial advisor

    By Santo Gold,
    • 7 replies
    • 4k views

  33. qdia for self directed

    By TPApril,
    • 11 replies
    • 2k views

  34. How do participants get managed-account documents?

    By Peter Gulia,
    • 0 replies
    • 593 views

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

    By Owen Meany,   
    • 1 reply
    • 802 views

  36. I Bonds in a qualified plan

    By bvhea,
    • 5 replies
    • 1k views

  37. Leverage with options and UBTI

    By lookatmytaxes,
    • 2 replies
    • 1.3k views

  38. Bank Participation Loans

    By susieQ,
    • 2 replies
    • 808 views

  39. 3(21) and 3(38) fiduciary services

    By Bird,
    • 19 replies
    • 3.5k views

  40. Charging Advisor Fees to Accounts

    By BTG,
    • 5 replies
    • 3.1k views

  41. Which mutual fund providers furnish prospectuses in Spanish?

    By Peter Gulia,
    • 5 replies
    • 1.6k views

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

    By Miner88,   
    • 4 replies
    • 1.5k views

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

    By Susan L,
    • 9 replies
    • 1.5k views

  44. Performance Disclosure Question

    By jreinhardt,   
    • 1 reply
    • 1k views

  45. Any Issues with Offering ETFs now?

    By Briandfox,
    • 1 reply
    • 1.3k views

  46. Particpant Direction not followed

    By mgcpension,
    • 2 replies
    • 1.8k views

  47. Self-directed conversions

    By Bird,
    • 7 replies
    • 1.9k views

  48. discriminatory to remove access to an investment?

    By AlbanyConsultant,
    • 2 replies
    • 983 views

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

    By Peter Gulia,   
    • 13 replies
    • 1.7k views

  50. ESG and Advisory Responsibilities

    By BruceM,
    • 0 replies
    • 995 views
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