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Investment Issues (Including Self-Directed)

560 topics in this forum

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

    By Peter Gulia,
    • 8 replies
    • 3.7k views

  2. Rent Payments From Trust Investments

    By Below Ground,
    • 4 replies
    • 255 views

  3. Defined benefit plans - borrowing

    By M_2015,
    • 0 replies
    • 147 views

  4. 408(b)(17) service provider exemption - are directed trustees considered "fiduciaries"

    By M_2015,
    • 1 reply
    • 216 views

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

    By Peter Gulia,
    • 9 replies
    • 554 views

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

    By AllThingsForGood,
    • 12 replies
    • 796 views

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

    By Peter Gulia,
    • 6 replies
    • 1.4k views

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

    By Lois Baker,
    • 3 replies
    • 668 views

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

    By Peter Gulia,
    • 11 replies
    • 869 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
    • 698 views

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

    By Basically,
    • 3 replies
    • 814 views

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

    By Below Ground,
    • 5 replies
    • 1.6k views

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

    By Peter Gulia,
    • 4 replies
    • 591 views

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

    By Santo Gold,
    • 10 replies
    • 1.2k views

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

    By Peter Gulia,   
    • 0 replies
    • 598 views

  16. Employer stock in 401(k) Plan

    By Tegernsee,
    • 5 replies
    • 1.4k views

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

    By Peter Gulia,
    • 7 replies
    • 768 views

  18. Basic questions on permitting "aggressive" investments

    By Santo Gold,
    • 6 replies
    • 1.3k views

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

    By TPApril,
    • 8 replies
    • 1.2k views

  20. TD Ameritrade SDIB - arggh

    By Bird,
    • 4 replies
    • 1.6k views

  21. “401(k) Crypto Case Crumbles in Federal Court”

    By Peter Gulia,
    • 3 replies
    • 960 views

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

    By Peter Gulia,
    • 12 replies
    • 2.5k views

  23. Ineligible Assets - Audit Info

    By RestAssured,
    • 9 replies
    • 1.3k views

  24. Onshore of Offshore Investment...

    By Basically,
    • 1 reply
    • 892 views

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

    By Diane Thompson,
    • 2 replies
    • 1.1k views

  26. Investing in a UK based company

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

  27. 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
    • 1.2k views

  28. Self-directed conversion (plan to IRA)

    By TPApril,
    • 9 replies
    • 1.4k views

  29. qdia for self directed

    By TPApril,
    • 11 replies
    • 1.8k views

  30. How do participants get managed-account documents?

    By Peter Gulia,
    • 0 replies
    • 523 views

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

    By Owen Meany,   
    • 1 reply
    • 709 views

  32. I Bonds in a qualified plan

    By bvhea,
    • 5 replies
    • 898 views

  33. Leverage with options and UBTI

    By lookatmytaxes,
    • 2 replies
    • 1k views

  34. Bank Participation Loans

    By susieQ,
    • 2 replies
    • 643 views

  35. Charging Advisor Fees to Accounts

    By BTG,
    • 5 replies
    • 2.4k views

  36. Which mutual fund providers furnish prospectuses in Spanish?

    By Peter Gulia,
    • 5 replies
    • 1.5k views

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

    By Miner88,   
    • 4 replies
    • 1.3k views

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

    By Susan L,
    • 9 replies
    • 1.3k views

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

    By Peter Gulia,   
    • 13 replies
    • 1.4k views

  40. ESG and Advisory Responsibilities

    By BruceM,
    • 0 replies
    • 887 views

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

    By Peter Gulia,   
    • 11 replies
    • 2.4k views

  42. Prohibited Transaction

    By JustMe,
    • 1 reply
    • 658 views

  43. Missing Asset Value (Not Available)

    By NVS,
    • 6 replies
    • 1.1k views

  44. TPA partnering with a financial advisor

    By Santo Gold,
    • 7 replies
    • 3.8k views

  45. How do retirement plans handle mutual funds’ proxies?

    By Peter Gulia,   
    • 1 reply
    • 925 views

  46. Escheatment and beneficiaries

    By bruce71,
    • 0 replies
    • 768 views

  47. Loan and UBTI

    By cathyw,
    • 6 replies
    • 2k views

  48. notification if past date in target date fund?

    By AlbanyConsultant,
    • 2 replies
    • 1.1k views

  49. Notification re: brokerage accounts

    By TPApril,
    • 7 replies
    • 1.5k views

  50. RIA Fees / Accrued Interest

    By austin3515,
    • 2 replies
    • 1.6k views
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