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Investment Issues (Including Self-Directed)

562 topics in this forum

  1. Can a participant pay her adviser’s fees from her plan account?

    By Peter Gulia,   
    • 11 replies
    • 3.1k views

  2. Prohibited Transaction

    By JustMe,
    • 1 reply
    • 724 views

  3. Missing Asset Value (Not Available)

    By NVS,
    • 6 replies
    • 1.4k views

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

    By Peter Gulia,   
    • 1 reply
    • 983 views

  5. Escheatment and beneficiaries

    By bruce71,
    • 0 replies
    • 826 views

  6. Loan and UBTI

    By cathyw,
    • 6 replies
    • 2.3k views

  7. notification if past date in target date fund?

    By AlbanyConsultant,
    • 2 replies
    • 1.1k views

  8. Notification re: brokerage accounts

    By TPApril,
    • 7 replies
    • 1.6k views

  9. RIA Fees / Accrued Interest

    By austin3515,
    • 2 replies
    • 1.8k views

  10. participant dies, who is responsible for investments

    By DMcGovern,
    • 6 replies
    • 1.6k views

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

    By AlbanyConsultant,
    • 6 replies
    • 1.2k views

  12. Participant-selected RIAs and fee deductions

    By AMDG,   
    • 1 reply
    • 844 views

  13. legacy variable annuity 401(k)

    By Scuba 401,
    • 3 replies
    • 1.4k views

  14. Purchase house in 401(k)

    By Cheryl S,
    • 11 replies
    • 3.4k views

  15. Sale of a portion of farm land

    By kwalified,
    • 7 replies
    • 1.8k views

  16. State Taxation of Trust with UBIT

    By JustMe,
    • 5 replies
    • 972 views

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

    By Peter Gulia,   
    • 19 replies
    • 1.8k views

  18. Target Date Funds proposed regulation

    By 52626,
    • 2 replies
    • 813 views

  19. In Plan Roth 401(k) Conversion

    By RestAssured,
    • 2 replies
    • 1.4k views

  20. Prohibited Transaction

    By Scuba 401,
    • 9 replies
    • 1k views

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

    By Peter Gulia,   
    • 6 replies
    • 1.5k views

  22. What is the cut-off time to get a day's mutual fund prices?

    By Peter Gulia,   
    • 4 replies
    • 11.9k views

  23. Model portfolio rates of return

    By austin3515,
    • 0 replies
    • 807 views

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

    By Peter Gulia,   
    • 4 replies
    • 911 views

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

    By Peter Gulia,   
    • 21 replies
    • 2.1k views
    • MoJo
    • MoJo

  26. new American Funds pricing for RKD

    By Bird,
    • 18 replies
    • 2k views

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

    By Peter Gulia,
    • 3 replies
    • 1k views

  28. Bitcoins

    By Monica Barnard,
    • 3 replies
    • 1.5k views

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

    By K-t-F,
    • 9 replies
    • 1.4k views

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

    By Peter Gulia,   
    • 4 replies
    • 2.3k views

  31. HOA ownership

    By Monica Barnard,
    • 2 replies
    • 1.6k views

  32. Real Estate LLC and Regulated Financial Institution

    By Guest dbvail,
    • 8 replies
    • 2.7k views

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

    By Peter Gulia,   
    • 6 replies
    • 1.3k views

  34. co-investing?

    By Earl,
    • 3 replies
    • 1.2k views

  35. Template for Fund Removal/Replacements

    By austin3515,
    • 0 replies
    • 847 views

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

    By lisabroc,
    • 8 replies
    • 2.5k views

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

    By Brian K,   
    • 1 reply
    • 1k views

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

    By Bird,
    • 2 replies
    • 802 views
    • GMK
    • GMK

  39. Foreign investment in rental property

    By angelajee,   
    • 3 replies
    • 1.3k views

  40. American Funds PlanPremier TPA

    By Bird,
    • 3 replies
    • 6.6k views

  41. disclosure of market-timing restrictions

    By Peter Gulia,   
    • 15 replies
    • 2.2k views

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

    By CharlesLeggette,
    • 4 replies
    • 1.1k views

  43. Benefits, Rights & Features in SDBAs Revisited

    By Guest Grumpy456,
    • 2 replies
    • 944 views

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

    By Peter Gulia,   
    • 5 replies
    • 1.4k views

  45. Foreign Tax Withholding

    By A Shot in the Dark,
    • 10 replies
    • 3.4k views
    • JJA
    • JJA

  46. Minimum Investment Fee

    By Buckoosier,
    • 5 replies
    • 1.5k views

  47. Property valuation requirements for one participant plan

    By kwalified,
    • 1 reply
    • 1k views

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

    By SycamoreFan,
    • 0 replies
    • 1.3k views

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

    By t.haley,
    • 3 replies
    • 1.2k views

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

    By jmrsai,
    • 5 replies
    • 1.5k views
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