Investment Issues (Including Self-Directed)

560 topics in this forum

1. Charging fees to terminees

   By k man, January 4, 2006
   • 10 replies
   • 7.2k views
   • 
   • BG5150
   • December 20, 2006

2. How many ERISA-governed plans have at least one participant’s account balance not fed to a recordkeeper’s system?

   By Peter Gulia, August 11, 2022
   • 10 replies
   • 1.2k views
   • 
   • Bird
   • August 15, 2022

3. Investment in IPO's

   By bzorc, May 14, 2012
   • 10 replies
   • 2k views
   • 
   • mbozek
   • May 24, 2012

4. Prohibited Transaction?

   By Lori H, July 18, 2011
   • 10 replies
   • 2.8k views
   • 
   • Lori H
   • July 19, 2011

5. Real Estate in DB Plan

   By Guest YATPA, September 11, 2003
   • 10 replies
   • 3k views
   • 
   • TCWalker
   • September 19, 2003

6. Ineligible Assets - Audit Info

   By RestAssured, May 30, 2023
   • 9 replies
   • 1.3k views
   • 
   • bito'money
   • June 6, 2023

7. Bank Plans/ Fees/ Fiduciary Question

   By IRC401, August 7, 2000
   • 9 replies
   • 4.6k views
   • 
   • Guest
   • June 30, 2010

8. Ignore deferred vested former employee accounts in allocating investment earnings and losses?

   By Susan L, February 24, 2021
   • 9 replies
   • 1.3k views
   • 
   • RatherBeGolfing
   • February 26, 2021

9. Self Administered 401K Plans

   By Guest John P., November 30, 2011
   • 9 replies
   • 3.5k views
   • 
   • Kevin C
   • December 12, 2011

10. Financial Advisor conflict ?

    By Santo Gold, November 17, 2010
    • 9 replies
    • 2.7k views
    • 
    • Guest
    • September 29, 2011

11. Open Brokerage and 404(c)

    By Randy Watson, August 25, 2008
    • 9 replies
    • 3.8k views
    • 
    • J Simmons
    • February 14, 2009

12. Which investments used for retirement plans have withdrawal restrictions or exit charges?

    By Peter Gulia, June 30
    • 9 replies
    • 554 views
    • 
    • CuseFan
    • July 2

13. non-owner participant wants to purchase real estate

    By TPAnnie, August 27, 2008
    • 9 replies
    • 2.4k views
    • 
    • Peter Gulia
    • August 28, 2008

14. Participant Directed?

    By Guest jmlumpkin, March 18, 2004
    • 9 replies
    • 2.2k views
    • 
    • Guest
    • March 30, 2004

15. Prohibited Transaction

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

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

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

17. Investment errors

    By Guest Sieve, May 7, 2009
    • 9 replies
    • 2.2k views
    • 
    • Guest
    • May 8, 2009

18. Self-directed conversion (plan to IRA)

    By TPApril, June 18, 2022
    • 9 replies
    • 1.4k views
    • 
    • Bill Presson
    • June 24, 2022

19. Investment Firm Refuses To Correct 1099-DIV

    By mming, February 2, 2013
    • 9 replies
    • 4k views
    • 
    • WDIK
    • February 14, 2013

20. An investment is available only to people with high net worth

    By katieinny, December 6, 2007
    • 9 replies
    • 2k views
    • 
    • pmacduff
    • December 10, 2007

21. re-setting the cost basis

    By Guest Iwonder, May 13, 2009
    • 8 replies
    • 3.2k views
    • 
    • masteff
    • May 15, 2009

22. QDIA Final Regs.

    By k man, November 7, 2007
    • 8 replies
    • 2.8k views
    • 
    • katieinny
    • January 11, 2008

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

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

24. Small Account Balances in a Daily Plan

    By Hoard1, August 4, 1999
    • 8 replies
    • 2.8k views
    • 
    • Guest
    • January 21, 2000

25. 404(c)

    By Guest ElKH, August 6, 2003
    • 8 replies
    • 1.8k views
    • 
    • QDROphile
    • August 8, 2003

26. Which target-year fund is a participant’s default?

    By Peter Gulia, September 11
    • 8 replies
    • 3.7k views
    • 
    • Peter Gulia
    • September 15

27. Partnership profit sharing plan: Do partners & employees have to

    By Moe Howard, February 11, 2002
    • 8 replies
    • 5.1k views
    • 
    • mbozek
    • March 9, 2002

28. Plan & ER own same Realty in PSP

    By Guest Ddalk, August 12, 2003
    • 8 replies
    • 2.3k views
    • 
    • Guest
    • August 14, 2003

29. Distribution Delay?

    By Guest Grumpy456, October 24, 2007
    • 8 replies
    • 4.4k views
    • 
    • Mike Preston
    • November 28, 2007

30. location of assets

    By k man, August 2, 2005
    • 8 replies
    • 3k views
    • 
    • mbozek
    • August 9, 2005

31. Real Estate LLC and Regulated Financial Institution

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

32. Paying individual advice fees from that participant's assets

    By Guest CitationSquirrel, November 25, 2013
    • 8 replies
    • 2.8k views
    • 
    • BG5150
    • May 1, 2014

33. QDIA: when do you deliver prospectus

    By k man, March 13, 2008
    • 8 replies
    • 2.9k views
    • 
    • John Feldt ERPA CPC QPA
    • March 21, 2008

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

    By lisabroc, April 7, 2016
    • 8 replies
    • 2.2k views
    • 
    • lisabroc
    • April 8, 2016

35. NSCC Multi-fund platform

    By Guest Phil L, October 13, 1999
    • 7 replies
    • 3.3k views
    • 
    • Archimage
    • February 22, 2002

36. Processing Trades

    By k man, March 28, 2000
    • 7 replies
    • 2.5k views
    • 
    • Guest
    • March 31, 2000

37. Sale of a portion of farm land

    By kwalified, December 18, 2018
    • 7 replies
    • 1.7k views
    • 
    • Bird
    • December 20, 2018

38. Self directed IRA LLC

    By Guest nealjpc, March 11, 2011
    • 7 replies
    • 1.8k views
    • 
    • Guest
    • April 10, 2011

39. Choosing Daily Valuation System

    By Guest DBQBenefits, August 8, 2002
    • 7 replies
    • 3.3k views
    • 
    • Guest
    • August 28, 2002

40. Fiduciary with insider information

    By Guest allisonperry, June 2, 2005
    • 7 replies
    • 2.3k views
    • 
    • Kirk Maldonado
    • June 10, 2005

41. 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

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

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

43. Notification re: brokerage accounts

    By TPApril, October 10, 2019
    • 7 replies
    • 1.5k views
    • 
    • Pam Shoup
    • October 11, 2019

44. TPA partnering with a financial advisor

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

45. Officer makes an improper investment of his self directed account

    By katieinny, May 24, 2006
    • 7 replies
    • 1.9k views
    • 
    • QDROphile
    • May 26, 2006

46. Has anyone seen an ERISA 408(g) compliance audit?

    By Peter Gulia, June 4, 2009
    • 7 replies
    • 6.5k views
    • 
    • Guest
    • March 10, 2012

47. Duty to monitor investment alternatives

    By Guest ly, October 21, 2002
    • 7 replies
    • 2k views
    • 
    • mbozek
    • October 21, 2002

48. Trying to get rid of LLC in plan

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

49. PS plan investment

    By Guest babs51, September 7, 2006
    • 7 replies
    • 2.2k views
    • 
    • Bird
    • September 8, 2006

50. Self-directed conversions

    By Bird, November 21, 2017
    • 7 replies
    • 1.8k views
    • 
    • MICHAEL HATLEE
    • February 25, 2021