Investment Issues (Including Self-Directed)

561 topics in this forum

1. Prohibited Transaction

   By JustMe, June 26, 2020
   • 1 reply
   • 696 views
   • 
   • JustMe
   • June 26, 2020

2. Missing Asset Value (Not Available)

   By NVS, June 23, 2020
   • 6 replies
   • 1.3k views
   • 
   • CuseFan
   • June 24, 2020

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

   By Peter Gulia, December 18, 2019   

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

4. Escheatment and beneficiaries

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

5. Loan and UBTI

   By cathyw, November 13, 2019
   • 6 replies
   • 2.1k views
   • 
   • Luke Bailey
   • November 15, 2019

6. notification if past date in target date fund?

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

7. Notification re: brokerage accounts

   By TPApril, October 10, 2019
   • 7 replies
   • 1.6k views
   • 
   • Pam Shoup
   • October 11, 2019

8. RIA Fees / Accrued Interest

   By austin3515, October 2, 2019
   • 2 replies
   • 1.7k views
   • 
   • Bird
   • October 3, 2019

9. participant dies, who is responsible for investments

   By DMcGovern, September 13, 2019
   • 6 replies
   • 1.6k views
   • 
   • Luke Bailey
   • September 16, 2019

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

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

11. 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
    • 795 views
    • 
    • QP_Guy
    • May 29, 2019

12. legacy variable annuity 401(k)

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

13. Purchase house in 401(k)

    By Cheryl S, November 1, 2018
    • 11 replies
    • 3.1k views
    • 
    • Larry Starr
    • January 2, 2019

14. Sale of a portion of farm land

    By kwalified, December 18, 2018
    • 7 replies
    • 1.8k views
    • 
    • Bird
    • December 20, 2018

15. State Taxation of Trust with UBIT

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

16. Is calling a stable-value account a “fund” misleading?

    By Peter Gulia, October 15, 2018   

    • communications; stable-value
    • 19 replies
    • 1.6k views
    • 
    • MoJo
    • October 17, 2018

17. Target Date Funds proposed regulation

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

18. In Plan Roth 401(k) Conversion

    By RestAssured, September 11, 2018
    • 2 replies
    • 1.3k views
    • 
    • RestAssured
    • September 11, 2018

19. Prohibited Transaction

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

20. Which retirement plans are affected by undoing the investment-advice fiduciary rule?

    By Peter Gulia, March 27, 2018   

    • fiduciary
    • 6 replies
    • 1.4k views
    • 
    • Peter Gulia
    • March 29, 2018

21. 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
    • 8.8k views
    • 
    • Pam Shoup
    • March 2, 2018

22. Model portfolio rates of return

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

23. 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
    • 882 views
    • 
    • Peter Gulia
    • September 20, 2017

24. Has anyone seen a lawsuit about prudent selection of investment funds unrelated to expenses or self-dealing?

    By Peter Gulia, August 29, 2017   

    • erisa; prudence; investment alternative
    • 21 replies
    • 2k views
    • 
    • MoJo
    • September 12, 2017

25. new American Funds pricing for RKD

    By Bird, August 16, 2017
    • 18 replies
    • 1.8k views
    • 
    • austin3515
    • August 23, 2017

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

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

27. Bitcoins

    By Monica Barnard, May 22, 2017
    • 3 replies
    • 1.4k views
    • 
    • CuseFan
    • May 23, 2017

28. Offering Individual Brokerage Account... Is there a Notice?

    By K-t-F, May 2, 2017
    • 9 replies
    • 1.4k views
    • 
    • RatherBeGolfing
    • May 3, 2017

29. Do you show a money-market fund's seven-day yield?

    By Peter Gulia, December 6, 2016   

    • 404a-5
    • 4 replies
    • 2.1k views
    • 
    • My 2 cents
    • December 7, 2016

30. HOA ownership

    By Monica Barnard, August 22, 2016
    • 2 replies
    • 1.5k views
    • 
    • QDROphile
    • August 23, 2016

31. Real Estate LLC and Regulated Financial Institution

    By Guest dbvail, July 29, 2008
    • 8 replies
    • 2.6k views
    • 
    • QDROphile
    • July 14, 2016

32. 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

33. co-investing?

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

34. Template for Fund Removal/Replacements

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

35. Liquidation of participant-directed brokerage accounts authorized by plan trustee

    By lisabroc, April 7, 2016
    • 8 replies
    • 2.3k views
    • 
    • lisabroc
    • April 8, 2016

36. 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
    • 985 views
    • 
    • Peter Gulia
    • February 27, 2016

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

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

38. Foreign investment in rental property

    By angelajee, December 21, 2015   

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

39. American Funds PlanPremier TPA

    By Bird, February 19, 2010
    • 3 replies
    • 6.5k views
    • 
    • BG5150
    • January 6, 2016

40. disclosure of market-timing restrictions

    By Peter Gulia, December 9, 2015   

    • market-timing; disclosure
    • 15 replies
    • 2k views
    • 
    • K2retire
    • December 11, 2015

41. 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

42. Benefits, Rights & Features in SDBAs Revisited

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

43. 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

44. Foreign Tax Withholding

    By A Shot in the Dark, January 16, 2009
    • 10 replies
    • 3.3k views
    • 
    • JJA
    • October 16, 2015

45. Minimum Investment Fee

    By Buckoosier, August 12, 2015
    • 5 replies
    • 1.4k views
    • 
    • John Feldt ERPA CPC QPA
    • August 19, 2015

46. Property valuation requirements for one participant plan

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

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

    By SycamoreFan, June 8, 2015
    • 0 replies
    • 1.3k views
    • 
    • SycamoreFan
    • June 8, 2015

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

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

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

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

50. Real estate- appraisal/ 5500 question

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