Investment Issues (Including Self-Directed)

560 topics in this forum

1. Small Plan Master Trust

   By Guest LoloV, August 19, 2003
   • 7 replies
   • 8.2k views
   • 
   • Kirk Maldonado
   • December 12, 2005

2. participant dies, who is responsible for investments

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

3. Participant's son as broker

   By SMB, September 8, 2008
   • 6 replies
   • 1.5k views
   • 
   • K2retire
   • September 10, 2008

4. Market Value Equalizer Payments

   By Randy Watson, November 6, 2007
   • 6 replies
   • 4k views
   • 
   • Bird
   • November 7, 2007

5. 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

6. Real Estate Taxes

   By jpod, April 4, 2011
   • 6 replies
   • 1.8k views
   • 
   • mbozek
   • April 7, 2011

7. Loan and UBTI

   By cathyw, November 13, 2019
   • 6 replies
   • 2k views
   • 
   • Luke Bailey
   • November 15, 2019

8. Can Participants Use IDA to Purchase Company Headquarters?

   By Übernerd, March 1, 2007
   • 6 replies
   • 2.6k views
   • 
   • Guest
   • May 30, 2007

9. Real estate in MPPP

   By Guest achamber, September 24, 2002
   • 6 replies
   • 2.3k views
   • 
   • Guest
   • September 27, 2002

10. Basic questions on permitting "aggressive" investments

    By Santo Gold, March 4, 2024
    • 6 replies
    • 1.3k views
    • 
    • Kansas401k
    • March 6, 2024

11. ALL Index Funds in a 401(k)?

    By Guest AmyHarle, June 25, 2008
    • 6 replies
    • 1.8k views
    • 
    • 401 Chaos
    • June 26, 2008

12. 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

13. How much of the plan can be "debt"?

    By Leopurrd, August 25, 2005
    • 6 replies
    • 2.3k views
    • 
    • Locust
    • October 12, 2005

14. Unitizing Investments in Employer Stock

    By Kirk Maldonado, August 31, 2001
    • 6 replies
    • 6.5k views
    • 
    • Guest
    • September 13, 2001

15. Would anyone dislike a zero-expense investment fund?

    By Peter Gulia, June 6
    • 6 replies
    • 1.4k views
    • 
    • Peter Gulia
    • June 11

16. Party-in-interest

    By Guest KimAnn, December 17, 2001
    • 6 replies
    • 1.8k views
    • 
    • KJohnson
    • December 18, 2001

17. Investment Firm Provides Opinion on 401(k) Fee Disclosure

    By Dave Baker, March 8, 2007
    • 6 replies
    • 3.9k views
    • 
    • Guest
    • June 18, 2007

18. Interest accrual in daily valued plans?

    By John A, July 25, 2001
    • 6 replies
    • 4k views
    • 
    • Guest
    • May 20, 2002

19. Missing Asset Value (Not Available)

    By NVS, June 23, 2020
    • 6 replies
    • 1.1k views
    • 
    • CuseFan
    • June 24, 2020

20. Possible bankruptcy of provider?

    By mariemonroe, August 29, 2008
    • 6 replies
    • 1.4k views
    • 
    • GBurns
    • September 2, 2008

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

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

22. S Corporation

    By Randy Watson, January 31, 2011
    • 6 replies
    • 1.9k views
    • 
    • ESOP Guy
    • February 2, 2011

23. Private Placement Assets Valuation

    By K-t-F, May 27, 2004
    • 5 replies
    • 3.1k views
    • 
    • Earl
    • May 28, 2004

24. "Open Architecture" Recordkeeper Options

    By Guest YATPA, January 31, 2005
    • 5 replies
    • 6.4k views
    • 
    • Guest
    • May 21, 2008

25. Investment advisor question (re: erisa bond)

    By Moe Howard, April 12, 2007
    • 5 replies
    • 3.7k views
    • 
    • QDROphile
    • November 1, 2007

26. broker fraud

    By pgold, March 25, 2009
    • 5 replies
    • 1.5k views
    • 
    • pgold
    • March 26, 2009

27. Recordkeeping systems - looking for recommendations - BenefitStreet? E

    By Guest Brad Arnold, January 30, 2003
    • 5 replies
    • 3.6k views
    • 
    • Guest
    • April 22, 2003

28. "pink sheet" investments

    By Belgarath, November 28, 2012
    • 5 replies
    • 2.3k views
    • 
    • Belgarath
    • December 6, 2012

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

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

30. Potential commissions if real estate in a plan is sold

    By Guest babs51, October 5, 2005
    • 5 replies
    • 2.1k views
    • 
    • david rigby
    • October 6, 2005

31. Gain on Forfeitures

    By Guest crouch, April 12, 2000
    • 5 replies
    • 2.3k views
    • 
    • Guest
    • April 18, 2000

32. Looking for companies who write daily valuation programs.

    By Guest nps, June 25, 2004
    • 5 replies
    • 2.3k views
    • 
    • Guest
    • June 29, 2004

33. Stats on Daily vs. Traditional

    By Guest mac_qka, November 3, 2008
    • 5 replies
    • 3.9k views
    • 
    • SheilaD
    • November 4, 2008

34. Basic life insurance question

    By Santo Gold, March 20, 2012
    • 5 replies
    • 2k views
    • 
    • Guest
    • March 23, 2012

35. Daily Val done at fund company?

    By Dawn Hafner, May 19, 2000
    • 5 replies
    • 2.2k views
    • 
    • Guest
    • July 1, 2000

36. Investment in rental property

    By jkharvey, October 9, 2000
    • 5 replies
    • 2.8k views
    • 
    • KJohnson
    • October 10, 2000

37. Offloading Worthless RELP?

    By Christine Roberts, March 11, 2004
    • 5 replies
    • 2k views
    • 
    • Christine Roberts
    • March 11, 2004

38. I Bonds in a qualified plan

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

39. Problem with insurance premium

    By Monica Barnard, January 28, 2008
    • 5 replies
    • 2k views
    • 
    • Bird
    • January 30, 2008

40. Principal Financial Group

    By Guest trucks1, December 3, 2004
    • 5 replies
    • 3.9k views
    • 
    • stephen
    • December 7, 2004

41. Expansion of Real Estate Investments under a 401(k) Plan

    By Below Ground, October 31, 2024
    • 5 replies
    • 1.6k views
    • 
    • Peter Gulia
    • November 5, 2024

42. Self-Direction Discrimination?

    By MarZDoates, December 2, 2005
    • 5 replies
    • 2.4k views
    • 
    • JanetM
    • November 8, 2006

43. Minimum Investment Fee

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

44. Nonqualifying Assets in 401(k)

    By Guest metallic, October 20, 2011
    • 5 replies
    • 3.4k views
    • 
    • Peter Gulia
    • October 22, 2011

45. Data for 404a5

    By austin3515, August 7, 2012
    • 5 replies
    • 2.3k views
    • 
    • austin3515
    • August 8, 2012

46. ERISA 404c Defense

    By J Simmons, June 29, 2009
    • 5 replies
    • 2.4k views
    • 
    • mbozek
    • July 8, 2009

47. Daily Val TPA Provider Liability Disclaimer

    By Guest Grumpy456, November 13, 2008
    • 5 replies
    • 3.4k views
    • 
    • K2retire
    • November 14, 2008

48. Which mutual fund providers furnish prospectuses in Spanish?

    By Peter Gulia, September 20, 2021
    • 5 replies
    • 1.5k views
    • 
    • Peter Gulia
    • September 21, 2021

49. Permissable Investments in 401K/Profit Sharing Plan

    By ERISA13, January 25, 2011
    • 5 replies
    • 5.7k views
    • 
    • masteff
    • January 27, 2011

50. 404(c) compliance

    By Guest breakwater, February 7, 2006
    • 5 replies
    • 2.9k views
    • 
    • Bird
    • February 8, 2006