Investment Issues (Including Self-Directed)

560 topics in this forum

1. Real Estate Investment (under construction) in company plan

   By TPApril, February 14, 2024
   • 8 replies
   • 1.2k views
   • 
   • Gadgetfreak
   • April 10, 2024

2. Missing Asset Value (Not Available)

   By NVS, June 23, 2020
   • 6 replies
   • 1.2k views
   • 
   • CuseFan
   • June 24, 2020

3. 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

4. Real estate in 2 plans

   By ombskid, August 25, 2011
   • 1 reply
   • 1.2k views
   • 
   • Guest
   • October 12, 2011

5. over mortgaged property 1 man plan

   By SheilaD, November 1, 2011
   • 1 reply
   • 1.2k views
   • 
   • SheilaD
   • November 2, 2011

6. Quailfying Employer Real Property

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

7. Taking 'stock' of the last year

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

8. Participant loaning money to individual as an "investment"

   By t.haley, June 4, 2015
   • 3 replies
   • 1.2k views
   • 
   • t.haley
   • June 4, 2015

9. another S-Corp potential txn

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

10. co-investing?

    By Earl, May 19, 2016
    • 3 replies
    • 1.2k views
    • 
    • Earl
    • May 19, 2016

11. Personal Guaranty Creates Prohibited Transaction?

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

12. Plan invests in entity owner also invested in

    By ombskid, September 2, 2011
    • 1 reply
    • 1.1k views
    • 
    • Guest
    • October 12, 2011

13. company shares as investment

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

14. UBIT question-foreign corp..

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

15. Prohibited Transaction-son of trustee as investment advisor on 401(k) plan

    By Diane Thompson, November 10, 2022
    • 2 replies
    • 1.1k views
    • 
    • Diane Thompson
    • November 11, 2022

16. investment in rental propert

    By thepensionmaven, May 9, 2015
    • 1 reply
    • 1.1k views
    • 
    • QDROphile
    • May 11, 2015

17. Savings & Loan with self investing?

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

18. RIA who manages 4 partnerships wants to invest pension fund in one of LPs

    By CharlesLeggette, November 20, 2015
    • 4 replies
    • 1.1k views
    • 
    • jpod
    • November 20, 2015

19. asset with minimum - has to be discriminatory, right?

    By AlbanyConsultant, September 3, 2019
    • 6 replies
    • 1.1k views
    • 
    • ugueth
    • September 5, 2019

20. Leverage with options and UBTI

    By lookatmytaxes, December 13, 2021
    • 2 replies
    • 1.1k views
    • 
    • Luke Bailey
    • December 26, 2021

21. Closely Held corp in a balanced forward PS

    By Guest lawman98, November 1, 2010
    • 0 replies
    • 1.1k views
    • 
    • Guest
    • November 1, 2010

22. notification if past date in target date fund?

    By AlbanyConsultant, October 24, 2019
    • 2 replies
    • 1.1k views
    • 
    • Larry Starr
    • October 24, 2019

23. Performance Disclosure Question

    By jreinhardt, February 25, 2016   

    • Models; Fees
    • 1 reply
    • 1k views
    • 
    • MICHAEL HATLEE
    • February 25, 2021

24. Property valuation requirements for one participant plan

    By kwalified, July 28, 2015
    • 1 reply
    • 994 views
    • 
    • mbozek
    • July 29, 2015

25. “401(k) Crypto Case Crumbles in Federal Court”

    By Peter Gulia, August 31, 2023
    • 3 replies
    • 991 views
    • 
    • Bri
    • February 24, 2025

26. SEC Money Market Reform - FDIC-Insured Demand Products

    By Brian K, February 26, 2016   

    • money market
    • stable value
    • (and 2 more)

      Tagged with:

      • money market
      • stable value
      • demand deposit
      • FDIC
    • 1 reply
    • 980 views
    • 
    • Peter Gulia
    • February 27, 2016

27. Investment Application... Solo plan... "is plan an ERISA plan?"

    By Basically, March 13, 2025
    • 3 replies
    • 969 views
    • 
    • Basically
    • March 13, 2025

28. Prohibited Transaction

    By Scuba 401, August 15, 2018
    • 9 replies
    • 967 views
    • 
    • Larry Starr
    • August 20, 2018

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

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

30. Real estate- appraisal/ 5500 question

    By jmartin, May 28, 2015
    • 1 reply
    • 955 views
    • 
    • david rigby
    • May 28, 2015

31. How do retirement plans handle mutual funds’ proxies?

    By Peter Gulia, December 18, 2019   

    • proxy voting
    • 1 reply
    • 939 views
    • 
    • Peter Gulia
    • December 20, 2019

32. I Bonds in a qualified plan

    By bvhea, December 28, 2021
    • 5 replies
    • 935 views
    • 
    • Peter Gulia
    • January 6, 2022

33. discriminatory to remove access to an investment?

    By AlbanyConsultant, May 21, 2019
    • 2 replies
    • 930 views
    • 
    • MICHAEL HATLEE
    • February 25, 2021

34. ESG and Advisory Responsibilities

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

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

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

36. Benefits, Rights & Features in SDBAs Revisited

    By Guest Grumpy456, November 17, 2015
    • 2 replies
    • 922 views
    • 
    • Lou S.
    • November 17, 2015

37. Onshore of Offshore Investment...

    By Basically, February 24, 2023
    • 1 reply
    • 915 views
    • 
    • DisplayName
    • February 27, 2023

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

    By AllThingsForGood, June 18, 2025
    • 12 replies
    • 913 views
    • 
    • QDROphile
    • June 25, 2025

39. Does a recordkeeper limit the percentage of a participant’s account that may be invested in a fund?

    By Peter Gulia, May 27, 2025
    • 11 replies
    • 907 views
    • 
    • Paul I
    • May 29, 2025

40. State Taxation of Trust with UBIT

    By JustMe, November 27, 2018
    • 5 replies
    • 902 views
    • 
    • JamesK
    • November 29, 2018

41. Cost estimate on proposed legislation to undo the Labor department's investment-advice fiduciary rule

    By Peter Gulia, September 19, 2017   

    • fiduciary; investment; advice; prohibited transaction;
    • 4 replies
    • 874 views
    • 
    • Peter Gulia
    • September 20, 2017

42. Which recordkeepers offer a mutual-fund-only window?

    By Peter Gulia, March 9, 2024
    • 7 replies
    • 842 views
    • 
    • Peter Gulia
    • March 11, 2024

43. Template for Fund Removal/Replacements

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

44. Escheatment and beneficiaries

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

45. Committee on Homeland Security and Governmental Affairs comment on DOL Fiduciary Rule

    By Bird, February 26, 2016
    • 2 replies
    • 782 views
    • 
    • GMK
    • February 26, 2016

46. Model portfolio rates of return

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

47. Participant-selected RIAs and fee deductions

    By AMDG, May 28, 2019   

    • ria
    • prohibited transaction
    • (and 3 more)

      Tagged with:

      • ria
      • prohibited transaction
      • party in interest
      • fee
      • deduction
    • 1 reply
    • 772 views
    • 
    • QP_Guy
    • May 29, 2019

48. Target Date Funds proposed regulation

    By 52626, October 3, 2018
    • 2 replies
    • 758 views
    • 
    • 52626
    • October 4, 2018

49. Investment advisor is contacted by a participant for individual investment advice for the participant's personal asset portfolio

    By With Appreciation...., May 14, 2025
    • 3 replies
    • 755 views
    • 
    • With Appreciation....
    • July 16, 2025

50. Private lending for home purchase on a large scale UBTI concer.

    By Owen Meany, January 10, 2022   

    • private lending ubti
    • high volume of loans
    • 1 reply
    • 736 views
    • 
    • Luke Bailey
    • January 11, 2022