Investment Issues (Including Self-Directed)

560 topics in this forum

1. Current Recordkeeping Platforms

   By Guest Dharmesh, October 3, 2002
   • 0 replies
   • 2.3k views
   • 
   • Guest
   • October 3, 2002

2. Daily 401(k) accounting and trading platforms

   By Guest RSF, September 25, 2002
   • 1 reply
   • 2.9k views
   • 
   • Guest
   • October 3, 2002

3. Daily Recordkeeper Search

   By Jean, February 9, 2000
   • 2 replies
   • 2.1k views
   • 
   • bzorc
   • February 10, 2000

4. Daily Val Acct Admin Salary

   By Guest SalHelp, August 5, 2002
   • 2 replies
   • 2.2k views
   • 
   • Guest
   • August 10, 2002

5. Daily Val done at fund company?

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

6. Daily Val software search

   By AndrewZ, November 10, 2001
   • 13 replies
   • 4.1k views
   • 
   • Guest
   • November 21, 2001

7. Daily Val TPA Provider Liability Disclaimer

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

8. Daily Valuation Manager/Plan Consultant Openings in Denver

   By Guest KC Bredemeier, October 17, 2000
   • 0 replies
   • 1.9k views
   • 
   • Guest
   • October 17, 2000

9. Daily Valuation Vendors?

   By Guest, August 2, 2000
   • 16 replies
   • 16.9k views
   • 
   • Guest
   • December 6, 2012

10. Daily Valuation vs. Balance Forward

    By Guest Kimberly Flett, June 27, 2001
    • 1 reply
    • 3.6k views
    • 
    • Guest
    • July 6, 2001

11. Data for 404a5

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

12. DB & DC combination

    By Earl, June 25, 2008
    • 2 replies
    • 2.3k views
    • 
    • Earl
    • June 25, 2008

13. Defaulted loans

    By FAPInJax, June 3, 2002
    • 0 replies
    • 1.9k views
    • 
    • FAPInJax
    • June 3, 2002

14. Defined benefit plans - borrowing

    By M_2015, August 7
    • 0 replies
    • 146 views
    • 
    • M_2015
    • August 7

15. defined benefit plans and real estate

    By PensionNewbee, August 20, 2003
    • 1 reply
    • 1.9k views
    • 
    • Guest
    • August 21, 2003

16. Definition of "assests under management" for QPAM Exemption

    By Guest JRERISA, June 19, 2009
    • 0 replies
    • 2k views
    • 
    • Guest
    • June 19, 2009

17. Delayed Receipt in Trading

    By Guest pieomy, April 24, 2008
    • 1 reply
    • 1.3k views
    • 
    • Peter Gulia
    • April 24, 2008

18. Derivatives

    By Guest research, June 23, 2001
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • June 23, 2001

19. different investments for principals

    By Guest lip, April 1, 2009
    • 3 replies
    • 2.6k views
    • 
    • JanetM
    • April 2, 2009

20. Direct trades at fund company

    By MSN, July 3, 2007
    • 2 replies
    • 2.6k views
    • 
    • MSN
    • July 5, 2007

21. Directed Brokerage - Liability of trustee?

    By k man, March 17, 2005
    • 0 replies
    • 1.6k views
    • 
    • k man
    • March 17, 2005

22. disclosure of market-timing restrictions

    By Peter Gulia, December 9, 2015   

    • market-timing; disclosure
    • 15 replies
    • 1.8k views
    • 
    • K2retire
    • December 11, 2015

23. Discriminatory investment condition

    By Guest jim williams, August 16, 2006
    • 1 reply
    • 1.5k views
    • 
    • mming
    • August 18, 2006

24. discriminatory to remove access to an investment?

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

25. Discriminatory?

    By Randy Watson, December 30, 2008
    • 3 replies
    • 1.3k views
    • 
    • J Simmons
    • December 31, 2008

26. Distribution and stock market issue

    By Monica Barnard, December 19, 2008
    • 4 replies
    • 1.4k views
    • 
    • Monica Barnard
    • December 22, 2008

27. Distribution Delay?

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

28. Diversification question for participant directed DC plan

    By mal, March 20, 2003
    • 19 replies
    • 3.6k views
    • 
    • mal
    • April 25, 2003

29. Dividends after plan termination

    By Guest lgm, October 12, 2005
    • 2 replies
    • 4.2k views
    • 
    • Guest
    • October 12, 2005

30. Dividends in a daily system

    By Guest lawman98, April 2, 2010
    • 0 replies
    • 4.2k views
    • 
    • Guest
    • April 2, 2010

31. Dividends on Matching Employer Securities Contributions

    By Guest LBarr, March 20, 2007
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • March 20, 2007

32. dividends received after participant is paid out

    By k man, April 1, 2014
    • 4 replies
    • 2.9k views
    • 
    • My 2 cents
    • April 1, 2014

33. Do Rehires have to wait until the next entry date to enter the plan or do they enter the plan immediately?

    By Rai401k, April 22, 2004
    • 2 replies
    • 2.7k views
    • 
    • rcline46
    • April 22, 2004

34. Do you like TIAA’s Target Date Plus model portfolios?

    By Peter Gulia, April 2, 2024   

    • tiaa
    • 0 replies
    • 596 views
    • 
    • Peter Gulia
    • April 2, 2024

35. 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

36. Document retention/Electronic storage

    By k man, September 15, 2000
    • 2 replies
    • 2.5k views
    • 
    • Kirk Maldonado
    • September 15, 2000

37. Does a recordkeeper limit the percentage of a participant’s account that may be invested in a fund?

    By Peter Gulia, May 27
    • 11 replies
    • 867 views
    • 
    • Paul I
    • May 29

38. Does anyone have a form letter they send to either trustees or partici

    By k man, February 27, 2001
    • 0 replies
    • 2.2k views
    • 
    • k man
    • February 27, 2001

39. Does broker dealer subsidiary holding the assets of a non-profit pare

    By Guest Lonnie Tomlin, December 19, 2000
    • 1 reply
    • 1.7k views
    • 
    • Jon Chambers
    • December 21, 2000

40. Does the 404(c) rule require anything that the new 404(a) rule doesn't require?

    By Peter Gulia, January 3, 2011
    • 0 replies
    • 1.3k views
    • 
    • Peter Gulia
    • January 3, 2011

41. Does your custodian provide fraud protection?

    By Erik Read, April 17, 2006
    • 0 replies
    • 1.3k views
    • 
    • Erik Read
    • April 17, 2006

42. DOL Proposed Regulation

    By PLAN MAN, February 26, 2010
    • 1 reply
    • 1.3k views
    • 
    • david rigby
    • February 26, 2010

43. Downloading investment values

    By Guest Stacey L Miller, April 17, 2000
    • 1 reply
    • 2.1k views
    • 
    • Guest
    • April 18, 2000

44. Drawdown of Initial Contribution

    By Guest lolalin, July 6, 2003
    • 0 replies
    • 1.3k views
    • 
    • Guest
    • July 6, 2003

45. DST and Trac2000

    By Demosthenes, March 6, 2002
    • 0 replies
    • 2k views
    • 
    • Demosthenes
    • March 6, 2002

46. Duty to monitor investment alternatives

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

47. Earnings on Forfeitures

    By Guest m.n.ouellette, January 5, 2009
    • 4 replies
    • 1.4k views
    • 
    • Guest
    • January 6, 2009

48. Education or Advice

    By PLAN MAN, October 6, 2007
    • 5 replies
    • 1.7k views
    • 
    • Peter Gulia
    • October 9, 2007

49. Electronic Mutual Fund Prospectuses

    By Guest cxs, February 12, 2004
    • 4 replies
    • 3.5k views
    • 
    • E as in ERISA
    • February 16, 2004

50. Eligible Investment In Sdb Accounts? Options

    By Guest btooz, March 27, 2003
    • 2 replies
    • 2.5k views
    • 
    • Jon Chambers
    • April 10, 2003