Investment Issues (Including Self-Directed)

560 topics in this forum

1. Nonqualifying asset bond

   By Guest Pensions in Paradise, September 19, 2003
   • 0 replies
   • 2.5k views
   • 
   • Guest
   • September 19, 2003

2. Assigning Responsibility for Investment Error (a poll; please provide

   By Guest ASIRE, January 22, 2002
   • 0 replies
   • 1.6k views
   • 
   • Guest
   • January 22, 2002

3. Owner Only Plan wants to by Life Insurance from Spouse

   By commishvp, September 16, 2011
   • 0 replies
   • 925 views
   • 
   • commishvp
   • September 16, 2011

4. Short Selling in IRA / Profit Sharing Plan

   By Guest tschotland, July 22, 2008
   • 0 replies
   • 1.8k views
   • 
   • Guest
   • July 22, 2008

5. Personal Guaranty Creates Prohibited Transaction?

   By Guest tschotland, July 22, 2008
   • 0 replies
   • 1.1k views
   • 
   • Guest
   • July 22, 2008

6. Investment Standards

   By Randy Watson, April 11, 2005
   • 0 replies
   • 1.5k views
   • 
   • Randy Watson
   • April 11, 2005

7. Are Separately Managed Accounts allowed?

   By joel, March 21, 2005
   • 0 replies
   • 1.4k views
   • 
   • joel
   • March 21, 2005

8. Brokerage Accounts not subject to 408(b)(2)?

   By Young Curmudgeon, June 20, 2012
   • 0 replies
   • 1.6k views
   • 
   • Young Curmudgeon
   • June 20, 2012

9. Bankrupt Fund in the Plan

   By Santo Gold, November 15, 2006
   • 0 replies
   • 1.6k views
   • 
   • Santo Gold
   • November 15, 2006

10. Confidentiality Procedures

    By Guest asire2002, May 22, 2003
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • May 22, 2003

11. Buying on Margin

    By Guest esi-jht, August 31, 2006
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • August 31, 2006

12. Social Security Numbers on Distribution Checks and Quarterly Statement

    By Guest Mike2003, February 19, 2003
    • 0 replies
    • 1.7k views
    • 
    • Guest
    • February 19, 2003

13. Fiduciary Liability Master Class

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

14. upcoming guidance from DOL re: fees?

    By Guest erisamelissa, August 3, 2006
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • August 3, 2006

15. Template for Fund Removal/Replacements

    By austin3515, May 18, 2016
    • 0 replies
    • 828 views
    • 
    • austin3515
    • May 18, 2016

16. Daily Valuation Manager/Plan Consultant Openings in Denver

    By Guest KC Bredemeier, October 17, 2000
    • 0 replies
    • 2k views
    • 
    • Guest
    • October 17, 2000

17. Prohibited Transaction if Self-Directed Investment???

    By Christine Roberts, May 8, 2002
    • 0 replies
    • 1.6k views
    • 
    • Christine Roberts
    • May 8, 2002

18. Investment Advice Under 2550.408(g)-1

    By EPCRSGuru, August 13, 2012
    • 0 replies
    • 1.5k views
    • 
    • EPCRSGuru
    • August 13, 2012

19. Investment Expense Ratios

    By austin3515, June 2, 2008
    • 0 replies
    • 1.9k views
    • 
    • austin3515
    • June 2, 2008

20. Plan Administration Checklists

    By Guest D Carpenter, January 31, 2003
    • 0 replies
    • 1.9k views
    • 
    • Guest
    • January 31, 2003

21. Loans - Individual or General Investment

    By kocak, April 26, 2001
    • 0 replies
    • 1.6k views
    • 
    • kocak
    • April 26, 2001

22. Leaseback Restrictions in 514(c)(9)

    By Guest dovlok, November 7, 2001
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • November 7, 2001

23. Drawdown of Initial Contribution

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

24. Non-discrimination testing

    By Guest yvette2255, April 27, 2007
    • 0 replies
    • 3k views
    • 
    • Guest
    • April 27, 2007

25. Company hires outside investment advisor.

    By katieinny, April 25, 2006
    • 0 replies
    • 1.4k views
    • 
    • katieinny
    • April 25, 2006

26. Money Market and Recordkeepers

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

27. Valuation of Bonds in a money purchase pension plan

    By Guest Bruce Endy, May 30, 2002
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • May 30, 2002

28. Quailfying Employer Real Property

    By amcorson, May 5, 2009
    • 0 replies
    • 1.2k views
    • 
    • amcorson
    • May 5, 2009

29. Nationwide litigation

    By Guest pearrich, December 20, 2001
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • December 20, 2001

30. company shares as investment

    By Guest nipa1, August 16, 2012
    • 0 replies
    • 1.1k views
    • 
    • Guest
    • August 16, 2012

31. Trasnferring assets

    By Guest sharpie, November 15, 2005
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • November 15, 2005

32. Taking 'stock' of the last year

    By J Simmons, November 17, 2008
    • 0 replies
    • 1.2k views
    • 
    • J Simmons
    • November 17, 2008

33. How do you track the amount to use for required minimum distributions,

    By John A, November 9, 2000
    • 0 replies
    • 1.9k views
    • 
    • John A
    • November 9, 2000

34. How do participants get managed-account documents?

    By Peter Gulia, June 9, 2022
    • 0 replies
    • 541 views
    • 
    • Peter Gulia
    • June 9, 2022

35. Prohibited transaction to hire a financial advice provider that is par

    By Guest And another thing ..., February 27, 2002
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • February 27, 2002

36. Internal Investment Advisor

    By Guest Richard Tennenbaum, November 30, 2007
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • November 30, 2007

37. "Best Practices"

    By Guest cjk, September 12, 2002
    • 0 replies
    • 2.2k views
    • 
    • Guest
    • September 12, 2002

38. Could a bank's collective trust fund hold individual group annuity contracts for multiple employers?

    By Guest vantagepension, September 29, 2003
    • 0 replies
    • 2.8k views
    • 
    • Guest
    • September 29, 2003

39. Policy for fiduciary review/holding mortgages in plans/IRAs?

    By Guest Toner, Stephen, July 27, 2000
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • July 27, 2000

40. Limited Partnership Accounting

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

41. group annuity products and schedule of assets held for investment

    By Guest jbrianhill, July 11, 2002
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • July 11, 2002

42. 404(c) Fee Disclosure

    By Randy Watson, October 30, 2007
    • 0 replies
    • 1.6k views
    • 
    • Randy Watson
    • October 30, 2007

43. Defined benefit plans - borrowing

    By M_2015, August 7, 2025
    • 0 replies
    • 172 views
    • 
    • M_2015
    • August 7, 2025

44. VCOCs

    By Guest 91smithie, June 13, 2003
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • June 13, 2003

45. Participant Directing Plan to Purchase Annuity

    By chris, March 31, 2003
    • 0 replies
    • 2.2k views
    • 
    • chris
    • March 31, 2003

46. Does anyone have a form letter they send to either trustees or partici

    By k man, February 27, 2001
    • 0 replies
    • 2.2k views
    • 
    • k man
    • February 27, 2001

47. Model investment management agreement checklist?

    By Guest rissa-7477, November 19, 2008
    • 0 replies
    • 1.7k views
    • 
    • Guest
    • November 19, 2008

48. Defaulted loans

    By FAPInJax, June 3, 2002
    • 0 replies
    • 1.9k views
    • 
    • FAPInJax
    • June 3, 2002

49. Investment Manager under ERISA 3(38)

    By k man, May 4, 2007
    • 0 replies
    • 2.8k views
    • 
    • k man
    • May 4, 2007

50. Self directed brokerage fund, trust reporting requirements.

    By Guest Factster, January 31, 2002
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • January 31, 2002