Investment Issues (Including Self-Directed)

560 topics in this forum

1. ERISA 404(b) "indicia of ownership"

   By Guest jmc51, March 26, 2009
   • 16 replies
   • 17.7k views
   • 
   • Guest
   • September 2, 2009

2. Daily Valuation Vendors?

   By Guest, August 2, 2000
   • 16 replies
   • 16.9k views
   • 
   • Guest
   • December 6, 2012

3. Revenue Sharing of sub-TA fees

   By Guest Carol Ringwald, April 12, 1999
   • 11 replies
   • 16.4k views
   • 
   • Guest
   • December 1, 2000

4. Margin Investments

   By david rigby, January 30, 2002
   • 38 replies
   • 16.3k views
   • 
   • CaptainObvious
   • January 17, 2015

5. Pooled Separate Accounts and ERISA

   By Guest curious jorge, February 16, 2005
   • 4 replies
   • 14.7k views
   • 
   • PLAN MAN
   • November 29, 2006

6. Trailing vs Rolling

   By Guest hitt24, April 24, 2003
   • 1 reply
   • 12.8k views
   • 
   • four01kman
   • April 24, 2003

7. In LaRue: Supreme Court Upholds Participant's Damages Claim

   By Dave Baker, February 20, 2008
   • 38 replies
   • 8.6k views
   • 
   • Guest
   • March 1, 2008

8. Small Plan Master Trust

   By Guest LoloV, August 19, 2003
   • 7 replies
   • 8.2k views
   • 
   • Kirk Maldonado
   • December 12, 2005

9. Financial Advisor = Fiduciary?

   By Santo Gold, October 20, 2005
   • 24 replies
   • 7.9k views
   • 
   • Don Levit
   • January 25, 2006

10. Charging fees to terminees

    By k man, January 4, 2006
    • 10 replies
    • 7.2k views
    • 
    • BG5150
    • December 20, 2006

11. Administrator vs. Named Fiduciary under ERISA

    By Guest pension222, June 7, 2001
    • 2 replies
    • 6.6k views
    • 
    • Jon Chambers
    • June 11, 2001

12. Unitizing Investments in Employer Stock

    By Kirk Maldonado, August 31, 2001
    • 6 replies
    • 6.5k views
    • 
    • Guest
    • September 13, 2001

13. American Funds PlanPremier TPA

    By Bird, February 19, 2010
    • 3 replies
    • 6.5k views
    • 
    • BG5150
    • January 6, 2016

14. Has anyone seen an ERISA 408(g) compliance audit?

    By Peter Gulia, June 4, 2009
    • 7 replies
    • 6.5k views
    • 
    • Guest
    • March 10, 2012

15. "Open Architecture" Recordkeeper Options

    By Guest YATPA, January 31, 2005
    • 5 replies
    • 6.4k views
    • 
    • Guest
    • May 21, 2008

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

    By Guest Iwonder, August 6, 2008
    • 16 replies
    • 6.2k views
    • 
    • Bantais
    • August 24

17. Permissable Investments in 401K/Profit Sharing Plan

    By ERISA13, January 25, 2011
    • 5 replies
    • 5.7k views
    • 
    • masteff
    • January 27, 2011

18. Separate Account for Owner Only

    By ERISA13, February 9, 2010
    • 20 replies
    • 5.6k views
    • 
    • ombskid
    • June 24, 2013

19. Sub T/A fees

    By Guest cascigm, May 25, 1999
    • 3 replies
    • 5.2k views
    • 
    • Guest
    • May 28, 1999

20. Partnership profit sharing plan: Do partners & employees have to

    By Moe Howard, February 11, 2002
    • 8 replies
    • 5.1k views
    • 
    • mbozek
    • March 9, 2002

21. What is the cut-off time to get a day's mutual fund prices?

    By Peter Gulia, February 27, 2018   

    • investment direction; mutual fund
    • 4 replies
    • 5k views
    • 
    • Pam Shoup
    • March 2, 2018

22. Finance your new Business through a 401(k)

    By Guest NeophiteTPA, February 16, 2007
    • 11 replies
    • 5k views
    • 
    • Guest
    • October 18, 2007

23. Universal Life Insurance in a Profit Sharing Plan

    By PJ2009, July 8, 2009
    • 12 replies
    • 4.9k views
    • 
    • Bill Presson
    • July 10, 2009

24. Forcing a Participant to sell investments.

    By katieinny, November 25, 2002
    • 39 replies
    • 4.8k views
    • 
    • IRC401
    • December 20, 2002

25. Valuing a Limited partnership

    By K-t-F, April 19, 2012
    • 16 replies
    • 4.7k views
    • 
    • QDROphile
    • May 7, 2012

26. Self-Dealing and/or Exclusive Benefit Question

    By Medusa, July 12, 2006
    • 11 replies
    • 4.6k views
    • 
    • Kirk Maldonado
    • July 17, 2006

27. Allowable Investment?

    By K-t-F, November 23, 2005
    • 22 replies
    • 4.5k views
    • 
    • Kirk Maldonado
    • December 1, 2005

28. Bank Plans/ Fees/ Fiduciary Question

    By IRC401, August 7, 2000
    • 9 replies
    • 4.5k views
    • 
    • Guest
    • June 30, 2010

29. Life insurance as qualified plan investment

    By Guest Sieve, April 28, 2009
    • 20 replies
    • 4.5k views
    • 
    • Below Ground
    • June 4, 2009

30. SEC registration and sub T/A fees

    By Guest xplan, May 3, 2001
    • 3 replies
    • 4.4k views
    • 
    • Guest
    • May 16, 2001

31. QDIA Notice

    By Guest JM123, July 29, 2013   

    • asset allocation models
    • 0 replies
    • 4.4k views
    • 
    • Guest
    • July 29, 2013

32. Distribution Delay?

    By Guest Grumpy456, October 24, 2007
    • 8 replies
    • 4.4k views
    • 
    • Mike Preston
    • November 28, 2007

33. Exceeding incidental benefit limitation in regards to life insurance.

    By Guest Mindy, April 28, 2000
    • 0 replies
    • 4.3k views
    • 
    • Guest
    • April 28, 2000

34. Dividends in a daily system

    By Guest lawman98, April 2, 2010
    • 0 replies
    • 4.2k views
    • 
    • Guest
    • April 2, 2010

35. Dividends after plan termination

    By Guest lgm, October 12, 2005
    • 2 replies
    • 4.1k views
    • 
    • Guest
    • October 12, 2005

36. Daily Val software search

    By AndrewZ, November 10, 2001
    • 13 replies
    • 4.1k views
    • 
    • Guest
    • November 21, 2001

37. Interest accrual in daily valued plans?

    By John A, July 25, 2001
    • 6 replies
    • 4k views
    • 
    • Guest
    • May 20, 2002

38. Market Value Equalizer Payments

    By Randy Watson, November 6, 2007
    • 6 replies
    • 4k views
    • 
    • Bird
    • November 7, 2007

39. Investment Firm Refuses To Correct 1099-DIV

    By mming, February 2, 2013
    • 9 replies
    • 4k views
    • 
    • WDIK
    • February 14, 2013

40. Principal Financial Group

    By Guest trucks1, December 3, 2004
    • 5 replies
    • 3.9k views
    • 
    • stephen
    • December 7, 2004

41. Stats on Daily vs. Traditional

    By Guest mac_qka, November 3, 2008
    • 5 replies
    • 3.9k views
    • 
    • SheilaD
    • November 4, 2008

42. Vesting Service & "Pure" Elapsed Time

    By Guest EMC, May 13, 2002
    • 1 reply
    • 3.9k views
    • 
    • Mike Preston
    • May 14, 2002

43. The sale of Real Estate from a Profit Sharing Plan

    By A Shot in the Dark, April 24, 2008
    • 3 replies
    • 3.9k views
    • 
    • GMK
    • April 25, 2008

44. Administration Software

    By Guest Pensions in Paradise, March 7, 2003
    • 3 replies
    • 3.9k views
    • 
    • Guest
    • April 25, 2003

45. plan purchasing real estate

    By Guest lip, June 13, 2008
    • 19 replies
    • 3.9k views
    • 
    • J Simmons
    • June 20, 2008

46. Investment Firm Provides Opinion on 401(k) Fee Disclosure

    By Dave Baker, March 8, 2007
    • 6 replies
    • 3.9k views
    • 
    • Guest
    • June 18, 2007

47. TPA partnering with a financial advisor

    By Santo Gold, January 28, 2020
    • 7 replies
    • 3.8k views
    • 
    • nevenkaconsiders
    • June 23, 2022

48. Open Brokerage and 404(c)

    By Randy Watson, August 25, 2008
    • 9 replies
    • 3.8k views
    • 
    • J Simmons
    • February 14, 2009

49. Investment advisor question (re: erisa bond)

    By Moe Howard, April 12, 2007
    • 5 replies
    • 3.7k views
    • 
    • QDROphile
    • November 1, 2007

50. Fee-based advisors

    By Bird, July 24, 2006
    • 12 replies
    • 3.7k views
    • 
    • Guest
    • November 11, 2006