Investment Issues (Including Self-Directed)

560 topics in this forum

1. Terminating a plan with a farm as an asset?

   By Lori H, June 4, 2014
   • 7 replies
   • 1.5k views
   • 
   • My 2 cents
   • June 6, 2014

2. Terminating a PS plan that holds a Town House

   By katieinny, April 8, 2015   

   • ER doesnt want to sell
   • 4 replies
   • 1.6k views
   • 
   • katieinny
   • April 9, 2015

3. The Florida Retirement System's Investment Plan

   By joel, April 19, 2002
   • 1 reply
   • 2.1k views
   • 
   • Jon Chambers
   • May 7, 2002

4. The New Jersey Supplemental Annuity Collective Trust (SACT)

   By joel, December 5, 2013
   • 4 replies
   • 2.8k views
   • 
   • joel
   • December 8, 2013

5. 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

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

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

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

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

8. TPA partnering with a financial advisor

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

9. TPA ratings

   By Guest MMM, February 25, 2000
   • 3 replies
   • 2.4k views
   • 
   • Guest
   • March 1, 2000

10. TPA/Broker combo

    By Guest toddez, May 12, 2011
    • 2 replies
    • 1.5k views
    • 
    • Bird
    • May 16, 2011

11. Tracking stock in employee benefit plans

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

12. Trade Authorization

    By Guest Ben Schmidt, November 9, 2010
    • 2 replies
    • 2.3k views
    • 
    • mbozek
    • November 13, 2010

13. Trailing vs Rolling

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

14. Trasnferring assets

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

15. Trustee & owner places assets with its customer

    By Beltane, December 14, 2007
    • 3 replies
    • 1.5k views
    • 
    • Peter Gulia
    • December 17, 2007

16. Trying to get rid of LLC in plan

    By AKconsult, August 5, 2010
    • 7 replies
    • 1.7k views
    • 
    • QDROphile
    • August 6, 2010

17. Tullis v UMB Bank

    By J Simmons, August 21, 2009
    • 3 replies
    • 2.9k views
    • 
    • Guest
    • May 24, 2011

18. UBIT question-foreign corp..

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

19. Unitizing Investments in Employer Stock

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

20. Universal Life Insurance in a Profit Sharing Plan

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

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

    By AllThingsForGood, June 18
    • 12 replies
    • 792 views
    • 
    • QDROphile
    • June 25

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

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

23. Unrelated business taxable income

    By Guest Patrice Kramm, December 16, 2002
    • 3 replies
    • 1.7k views
    • 
    • jpod
    • December 16, 2002

24. unrestricted investment options

    By Guest jmlumpkin, October 12, 2005
    • 4 replies
    • 2.1k views
    • 
    • mbozek
    • October 13, 2005

25. upcoming guidance from DOL re: fees?

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

26. Use of financial advisors to manage investments under a self-directed

    By Guest asire2002, February 3, 2003
    • 2 replies
    • 1.4k views
    • 
    • KJohnson
    • February 4, 2003

27. Use of proprietary mutual funds by financial institutions and mutual f

    By Guest Ann West, May 18, 2001
    • 1 reply
    • 1.8k views
    • 
    • Jon Chambers
    • May 18, 2001

28. Using plan assets to form LLC to buy Real Estate

    By jmrsai, June 1, 2015
    • 5 replies
    • 1.4k views
    • 
    • K2retire
    • June 2, 2015

29. Using plan assets to purchase business

    By Monica Barnard, June 24, 2009
    • 3 replies
    • 1.4k views
    • 
    • Monica Barnard
    • June 24, 2009

30. 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

31. Valuing a Limited partnership

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

32. Variable Annuity Disguised as 401(k)-Please Help

    By Guest IraSue, March 26, 2004
    • 11 replies
    • 3.7k views
    • 
    • mbozek
    • April 3, 2004

33. VCOCs

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

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

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

35. Vesting Service & "Pure" Elapsed Time

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

36. Viator policies in profit sharing plans

    By Guest MELODY LOVE, February 21, 2001
    • 12 replies
    • 2.3k views
    • 
    • Bill Berke
    • February 23, 2001

37. Violation in submitting trade requests to Bank

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

38. Violation in submitting trade requests to Bank?

    By Guest crosseyetester, February 2, 2007
    • 1 reply
    • 1.7k views
    • 
    • Bill Presson
    • February 3, 2007

39. Voting stock in retirement plan?

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

40. Wells Fargo Advisors - limited scope audit?

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

41. What are the fiduciary responsibilities of a TPA and a Bundled Service

    By Guest UKH, July 25, 2000
    • 1 reply
    • 2.3k views
    • 
    • Guest
    • July 27, 2000

42. 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

43. What information do you use to evaluate investment funds?

    By Peter Gulia, June 19, 2017
    • 3 replies
    • 933 views
    • 
    • Peter Gulia
    • June 19, 2017

44. What is the best daily valuation system available?

    By Guest EMozley, September 8, 2000
    • 1 reply
    • 2.1k views
    • 
    • Guest
    • September 11, 2000

45. 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
    • 5.1k views
    • 
    • Pam Shoup
    • March 2, 2018

46. What is the proper Code Section indicating the PS/MP contributions mus

    By Guest TracyAndrews, April 9, 2001
    • 2 replies
    • 1.8k views
    • 
    • Guest
    • April 10, 2001

47. What is your policy on the treatment of excess cash created from corre

    By John A, February 5, 2001
    • 3 replies
    • 2.3k views
    • 
    • Guest
    • February 7, 2001

48. what responsibility does a 457 plan sponsor have in regards to investments

    By Guest thill, October 21, 2007
    • 1 reply
    • 1.9k views
    • 
    • Guest
    • October 23, 2007

49. What to do with gains from trading errors

    By Guest GMedley, May 10, 2001
    • 1 reply
    • 3.7k views
    • 
    • Guest
    • May 13, 2001

50. When is the prior custodian required to send the money to the new custodian?

    By Guest chris4013, September 13, 2004
    • 1 reply
    • 2.1k views
    • 
    • rlb64
    • September 16, 2004