Investment Issues (Including Self-Directed)

560 topics in this forum

1. Voting stock in retirement plan?

   By Guest synergy3000, December 29, 2006
   • 1 reply
   • 1.8k views
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   • BeckyMiller
   • January 10, 2007

2. another S-Corp potential txn

   By AlbanyConsultant, March 5, 2011
   • 1 reply
   • 1.2k views
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   • ESOP Guy
   • March 7, 2011

3. Alternative investment valuation

   By Bird, February 4, 2013
   • 1 reply
   • 1.4k views
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   • mbozek
   • February 19, 2013

4. LOAN PAYMENTS

   By Guest dukec, May 30, 2003
   • 1 reply
   • 1.9k views
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   • Brian Gallagher
   • June 11, 2003

5. prohibited transaction exemption??

   By Guest bth1, December 3, 2002
   • 0 replies
   • 1.4k views
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   • Guest
   • December 3, 2002

6. 1035 Viatical Whole Life Policy to Annuity?

   By buckyks, January 30, 2015
   • 0 replies
   • 1.7k views
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   • buckyks
   • January 30, 2015

7. tpa fees charged by ee count rather than asset size?

   By TPApril, April 16, 2012
   • 0 replies
   • 1.2k views
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   • TPApril
   • April 16, 2012

8. Mobious Recordkeeping

   By Guest divadaily401k, June 24, 2002
   • 0 replies
   • 1.9k views
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   • Guest
   • June 24, 2002

9. Wells Fargo Advisors - limited scope audit?

   By TPApril, April 28, 2011
   • 0 replies
   • 1.3k views
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   • TPApril
   • April 28, 2011

10. Investment Advice -- PPA or pre-PPA rules?

    By Guest HRAdvisor, November 6, 2007
    • 0 replies
    • 1.8k views
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    • Guest
    • November 6, 2007

11. Vesting requirement for defined contribution plans - Excess Aggregate Contribution Refunds.

    By Guest Cliff Langwith, March 9, 2004
    • 0 replies
    • 2.7k views
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    • Guest
    • March 9, 2004

12. ESG and Advisory Responsibilities

    By BruceM, September 14, 2020
    • 0 replies
    • 887 views
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    • BruceM
    • September 14, 2020

13. Tracking stock in employee benefit plans

    By Guest smithee, May 7, 2001
    • 0 replies
    • 1.6k views
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    • Guest
    • May 7, 2001

14. Statute on APRSC for correction on ineligibility

    By Guest Kim Brooks, October 25, 2000
    • 0 replies
    • 1.6k views
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    • Guest
    • October 25, 2000

15. QDIA Notice

    By Guest JM123, July 29, 2013   

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

16. Dividends on Matching Employer Securities Contributions

    By Guest LBarr, March 20, 2007
    • 0 replies
    • 1.5k views
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    • Guest
    • March 20, 2007

17. NSCC link for Quantech

    By Guest Carol Ringwald, March 22, 1999
    • 0 replies
    • 2.3k views
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    • Guest
    • March 22, 1999

18. DST and Trac2000

    By Demosthenes, March 6, 2002
    • 0 replies
    • 2k views
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    • Demosthenes
    • March 6, 2002

19. "Due Diligence"

    By SMB, October 5, 2008
    • 0 replies
    • 2.1k views
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    • SMB
    • October 5, 2008

20. Violation in submitting trade requests to Bank

    By Guest crosseyetester, January 30, 2007
    • 0 replies
    • 2k views
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    • Guest
    • January 30, 2007

21. Asset Fee charges and Fiduciary Liability

    By Guest erisa15, September 22, 2004
    • 0 replies
    • 1.3k views
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    • Guest
    • September 22, 2004

22. Merger/Acquisitions - tax withholdings

    By Guest KGonsalves, September 15, 1999
    • 0 replies
    • 2.1k views
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    • Guest
    • September 15, 1999

23. ERISA 101(m) Diversification Noitce

    By Randy Watson, November 8, 2007
    • 0 replies
    • 2.5k views
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    • Randy Watson
    • November 8, 2007

24. Model portfolio rates of return

    By austin3515, October 18, 2017
    • 0 replies
    • 767 views
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    • austin3515
    • October 18, 2017

25. Blackout Period

    By Guest ljh1969, November 30, 2004
    • 0 replies
    • 2.5k views
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    • Guest
    • November 30, 2004

26. RFP posted for School District

    By Guest tuckerc, April 27, 2000
    • 0 replies
    • 1.9k views
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    • Guest
    • April 27, 2000

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

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

28. Derivatives

    By Guest research, June 23, 2001
    • 0 replies
    • 1.8k views
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    • Guest
    • June 23, 2001

29. QDIA - Fund Merger or Liquidation

    By Guest Astro, March 24, 2008
    • 0 replies
    • 1.5k views
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    • Guest
    • March 24, 2008

30. UBIT question-foreign corp..

    By Draper55, May 27, 2014
    • 0 replies
    • 1.1k views
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    • Draper55
    • May 27, 2014

31. Recordkeeping Processing Time

    By Guest blkdoro, August 6, 2003
    • 0 replies
    • 2.3k views
    • 
    • Guest
    • August 6, 2003

32. Plan Investment in entity causing entity's underlying assets to become plan assets

    By Guest sheTexasHammer, September 20, 2010
    • 0 replies
    • 1.2k views
    • 
    • Guest
    • September 20, 2010

33. Hedge Fund - Qualifying?

    By Guest TimS, July 21, 2010
    • 0 replies
    • 1.2k views
    • 
    • Guest
    • July 21, 2010

34. Investment Education

    By Guest natasha, March 7, 2002
    • 0 replies
    • 1.2k views
    • 
    • Guest
    • March 7, 2002

35. Guaranteed Annuity Contracts

    By Guest lerieleech, May 16, 2007
    • 0 replies
    • 1.3k views
    • 
    • Guest
    • May 16, 2007

36. Commingled Trust vs. Collective Investment Fund

    By Guest jeffmccoy, August 21, 2006
    • 0 replies
    • 3.6k views
    • 
    • Guest
    • August 21, 2006

37. Definition of "assests under management" for QPAM Exemption

    By Guest JRERISA, June 19, 2009
    • 0 replies
    • 2k views
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    • Guest
    • June 19, 2009

38. one time election to investment in property

    By SheilaD, October 18, 2012
    • 0 replies
    • 1.2k views
    • 
    • SheilaD
    • October 18, 2012

39. Form 926 For Qualified Plan's Investment in Offshore Hedge Fund

    By SycamoreFan, June 8, 2015
    • 0 replies
    • 1.2k views
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    • SycamoreFan
    • June 8, 2015

40. Fully Benefit-responsive Contracts

    By Guest guest101, August 15, 2011
    • 0 replies
    • 2.7k views
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    • Guest
    • August 15, 2011

41. Unrelated business income (from a limited partnership)... Is a Form 99

    By Moe Howard, October 31, 2000
    • 0 replies
    • 2.1k views
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    • Moe Howard
    • October 31, 2000

42. Directed Brokerage - Liability of trustee?

    By k man, March 17, 2005
    • 0 replies
    • 1.6k views
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    • k man
    • March 17, 2005

43. Savings & Loan with self investing?

    By Guest Margaret25, January 19, 2009
    • 0 replies
    • 1.1k views
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    • Guest
    • January 19, 2009

44. Private Placement Investments

    By K-t-F, June 19, 2006
    • 0 replies
    • 1.8k views
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    • K-t-F
    • June 19, 2006

45. 404(c)(5) QDIA Regs

    By Guest cac1134, August 22, 2007
    • 0 replies
    • 1.7k views
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    • Guest
    • August 22, 2007

46. Reporting rates of return to plan participants

    By Guest Jeanie, September 24, 2002
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • September 24, 2002

47. Does your custodian provide fraud protection?

    By Erik Read, April 17, 2006
    • 0 replies
    • 1.3k views
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    • Erik Read
    • April 17, 2006

48. Escheatment and beneficiaries

    By bruce71, November 19, 2019
    • 0 replies
    • 769 views
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    • bruce71
    • November 19, 2019

49. Employer Securities

    By Guest TCP, May 16, 2006
    • 0 replies
    • 2.2k views
    • 
    • Guest
    • May 16, 2006

50. Dividends in a daily system

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