Investment Issues (Including Self-Directed)

560 topics in this forum

1. Earnings on Forfeitures

   By Guest m.n.ouellette, January 5, 2009
   • 4 replies
   • 1.4k views
   • 
   • Guest
   • January 6, 2009

2. Asset Fee charges and Fiduciary Liability

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

3. Prohibited Transaction?

   By Dougsbpc, December 24, 2009
   • 1 reply
   • 1.3k views
   • 
   • jpod
   • December 24, 2009

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

   By Miner88, May 11, 2021   

   • marijuana
   • investment
   • (and 1 more)

     Tagged with:

     • marijuana
     • investment
     • erisa plan
   • 4 replies
   • 1.3k views
   • 
   • Miner88
   • May 13, 2021

5. Does your custodian provide fraud protection?

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

6. Sponsor Lease from Partially Plan-Owned LLC

   By Christine Roberts, July 22, 2008
   • 1 reply
   • 1.3k views
   • 
   • Ron Snyder
   • July 22, 2008

7. Guaranteed Annuity Contracts

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

8. Policy to prevent exchanges

   By Gadgetfreak, December 17, 2014
   • 1 reply
   • 1.3k views
   • 
   • QDROphile
   • December 17, 2014

9. Establishing a business as a trustee

   By Guest R. Daestrom, November 8, 2002
   • 1 reply
   • 1.3k views
   • 
   • IRC401
   • November 9, 2002

10. Required disclosures when employer provides investment return information?

    By Guest beppie_stark, April 21, 2004
    • 2 replies
    • 1.3k views
    • 
    • Demosthenes
    • April 21, 2004

11. Plan fees charged to participants

    By Guest Iwonder, April 24, 2008
    • 2 replies
    • 1.3k views
    • 
    • JanetM
    • April 24, 2008

12. Would the Voluntary Fiduciary Correction Program apply here?

    By katieinny, July 16, 2010
    • 3 replies
    • 1.3k views
    • 
    • katieinny
    • July 16, 2010

13. Plan Investment: A Race Horse

    By Randy Watson, August 2, 2012
    • 1 reply
    • 1.3k views
    • 
    • ETA Consulting LLC
    • August 3, 2012

14. PT avoidance for sale of land

    By Young Curmudgeon, June 7, 2012
    • 3 replies
    • 1.3k views
    • 
    • ETA Consulting LLC
    • June 7, 2012

15. Delayed Receipt in Trading

    By Guest pieomy, April 24, 2008
    • 1 reply
    • 1.3k views
    • 
    • Peter Gulia
    • April 24, 2008

16. Wells Fargo Advisors - limited scope audit?

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

17. Ineligible Assets - Audit Info

    By RestAssured, May 30, 2023
    • 9 replies
    • 1.3k views
    • 
    • bito'money
    • June 6, 2023

18. Insurance in 401k

    By Guest gwelsmore, April 19, 2012
    • 1 reply
    • 1.3k views
    • 
    • ETA Consulting LLC
    • April 20, 2012

19. What do you disclose to participants about an investment adviser?

    By Peter Gulia, October 21, 2015   

    • 404a-5
    • 5 replies
    • 1.3k views
    • 
    • Peter Gulia
    • October 21, 2015

20. Return of investment "re-pricing" losses - how to allocate?

    By t.haley, July 3, 2014
    • 3 replies
    • 1.3k views
    • 
    • BG5150
    • July 7, 2014

21. Discriminatory?

    By Randy Watson, December 30, 2008
    • 3 replies
    • 1.3k views
    • 
    • J Simmons
    • December 31, 2008

22. Money Market and Recordkeepers

    By SRP, November 13, 2008
    • 0 replies
    • 1.3k views
    • 
    • SRP
    • November 13, 2008

23. 1 man Plan Prohibited Transaction?

    By LangLangTPA, September 10, 2012
    • 1 reply
    • 1.3k views
    • 
    • RestAssured
    • January 30, 2013

24. Loans to sponsor

    By Guest JPIngold, July 30, 2010
    • 1 reply
    • 1.3k views
    • 
    • Guest
    • July 30, 2010

25. Fiduciary Liability Master Class

    By Guest kristiena, September 9, 2002
    • 0 replies
    • 1.3k views
    • 
    • Guest
    • September 9, 2002

26. Does the 404(c) rule require anything that the new 404(a) rule doesn't require?

    By Peter Gulia, January 3, 2011
    • 0 replies
    • 1.3k views
    • 
    • Peter Gulia
    • January 3, 2011

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

    By Susan L, February 24, 2021
    • 9 replies
    • 1.3k views
    • 
    • RatherBeGolfing
    • February 26, 2021

28. On investment advice, how much is left for the SEC to regulate?

    By Peter Gulia, May 13, 2016   

    • investment advice; fiduciary
    • 6 replies
    • 1.3k views
    • 
    • My 2 cents
    • May 23, 2016

29. plan investments

    By Gary, July 15, 2010
    • 3 replies
    • 1.3k views
    • 
    • movedon
    • July 16, 2010

30. Drawdown of Initial Contribution

    By Guest lolalin, July 6, 2003
    • 0 replies
    • 1.3k views
    • 
    • Guest
    • July 6, 2003

31. New Disclosure Requirements

    By Dougsbpc, January 13, 2011
    • 1 reply
    • 1.3k views
    • 
    • Bird
    • January 14, 2011

32. Purchase of plan assets

    By bzorc, November 5, 2002
    • 1 reply
    • 1.3k views
    • 
    • QDROphile
    • November 5, 2002

33. Enhanced Appreciation Securities

    By Guest pjb, July 15, 2003
    • 1 reply
    • 1.3k views
    • 
    • Kirk Maldonado
    • July 16, 2003

34. legacy variable annuity 401(k)

    By Scuba 401, March 11, 2019
    • 3 replies
    • 1.3k views
    • 
    • FPGuy
    • March 13, 2019

35. 401k Fees -Working?

    By goldtpa, September 21, 2012
    • 4 replies
    • 1.3k views
    • 
    • GMK
    • September 21, 2012

36. Basic questions on permitting "aggressive" investments

    By Santo Gold, March 4, 2024
    • 6 replies
    • 1.3k views
    • 
    • Kansas401k
    • March 6, 2024

37. plan investment

    By Guest nipa1, August 16, 2012
    • 1 reply
    • 1.3k views
    • 
    • mming
    • August 20, 2012

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

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

39. Investment Loss Notice

    By Monica Barnard, January 8, 2010
    • 1 reply
    • 1.2k views
    • 
    • Bird
    • January 8, 2010

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

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

41. Hedge Fund - Qualifying?

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

42. Investment Education

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

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

    By Santo Gold, June 3, 2024
    • 10 replies
    • 1.2k views
    • 
    • Basically
    • June 10, 2024

44. Limited Partnership Accounting

    By Guest mbdulik, March 31, 2003
    • 0 replies
    • 1.2k views
    • 
    • Guest
    • March 31, 2003

45. Prepare for a 4:00 PM hard close

    By Demosthenes, November 14, 2003
    • 0 replies
    • 1.2k views
    • 
    • Demosthenes
    • November 14, 2003

46. In Plan Roth 401(k) Conversion

    By RestAssured, September 11, 2018
    • 2 replies
    • 1.2k views
    • 
    • RestAssured
    • September 11, 2018

47. one time election to investment in property

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

48. Foreign investment in rental property

    By angelajee, December 21, 2015   

    • investment
    • 3 replies
    • 1.2k views
    • 
    • Laurence Oman
    • February 24, 2016

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

    By Peter Gulia, August 11, 2022
    • 10 replies
    • 1.2k views
    • 
    • Bird
    • August 15, 2022

50. 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