Investment Issues (Including Self-Directed)

560 topics in this forum

1. participant dies, who is responsible for investments

   By DMcGovern, September 13, 2019
   • 6 replies
   • 1.5k views
   • 
   • Luke Bailey
   • September 16, 2019

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

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

3. 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
   • 770 views
   • 
   • QP_Guy
   • May 29, 2019

4. discriminatory to remove access to an investment?

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

5. legacy variable annuity 401(k)

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

6. Sale of a portion of farm land

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

7. State Taxation of Trust with UBIT

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

8. Purchase house in 401(k)

   By Cheryl S, November 1, 2018
   • 11 replies
   • 3k views
   • 
   • Larry Starr
   • January 2, 2019

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

   By Peter Gulia, October 15, 2018   

   • communications; stable-value
   • 19 replies
   • 1.5k views
   • 
   • MoJo
   • October 17, 2018

10. Target Date Funds proposed regulation

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

11. In Plan Roth 401(k) Conversion

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

12. Prohibited Transaction

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

13. 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

14. 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
    • 7.3k views
    • 
    • Pam Shoup
    • March 2, 2018

15. 3(21) and 3(38) fiduciary services

    By Bird, February 22, 2018
    • 19 replies
    • 3.1k views
    • 
    • TPApril
    • December 1, 2021

16. Self-directed conversions

    By Bird, November 21, 2017
    • 7 replies
    • 1.9k views
    • 
    • MICHAEL HATLEE
    • February 25, 2021

17. Model portfolio rates of return

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

18. 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
    • 873 views
    • 
    • Peter Gulia
    • September 20, 2017

19. 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

20. new American Funds pricing for RKD

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

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

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

22. Bitcoins

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

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

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

24. 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

25. HOA ownership

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

26. co-investing?

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

27. Template for Fund Removal/Replacements

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

28. 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

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

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

30. Any Issues with Offering ETFs now?

    By Briandfox, March 9, 2016
    • 1 reply
    • 1.2k views
    • 
    • MICHAEL HATLEE
    • February 25, 2021

31. 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
    • 979 views
    • 
    • Peter Gulia
    • February 27, 2016

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

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

33. Performance Disclosure Question

    By jreinhardt, February 25, 2016   

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

34. Foreign investment in rental property

    By angelajee, December 21, 2015   

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

35. disclosure of market-timing restrictions

    By Peter Gulia, December 9, 2015   

    • market-timing; disclosure
    • 15 replies
    • 1.9k views
    • 
    • K2retire
    • December 11, 2015

36. 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

37. Benefits, Rights & Features in SDBAs Revisited

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

38. 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

39. Minimum Investment Fee

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

40. Property valuation requirements for one participant plan

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

41. 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

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

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

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

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

44. Real estate- appraisal/ 5500 question

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

45. IRA (or DBP?) Investment in Company Where Owner is on Advisory Board

    By cheersmate, May 13, 2015   

    • IRA
    • Self Directed IRA
    • (and 4 more)

      Tagged with:

      • IRA
      • Self Directed IRA
      • Prohibited Transaction
      • UBIT
      • privately held business
      • Defined Benefit Plan
    • 5 replies
    • 2k views
    • 
    • cheersmate
    • May 13, 2015

46. investment in rental propert

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

47. Can a Plan's Trustee Force Sale of Asset in Segregated Account?

    By RestAssured, May 6, 2015   

    • force sale
    • segregated account
    • 14 replies
    • 2.1k views
    • 
    • RestAssured
    • May 11, 2015

48. 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

49. 1035 Viatical Whole Life Policy to Annuity?

    By buckyks, January 30, 2015
    • 0 replies
    • 1.7k views
    • 
    • buckyks
    • January 30, 2015

50. Policy to prevent exchanges

    By Gadgetfreak, December 17, 2014
    • 1 reply
    • 1.3k views
    • 
    • QDROphile
    • December 17, 2014