Investment Issues (Including Self-Directed)

560 topics in this forum

1. QDIA Final Regs.

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

2. Need Copy of Compliance Manual and Policy and Procedure Manual

   By Guest thom4j, July 4, 2004
   • 1 reply
   • 2.8k views
   • 
   • GBurns
   • July 5, 2004

3. Could a bank's collective trust fund hold individual group annuity contracts for multiple employers?

   By Guest vantagepension, September 29, 2003
   • 0 replies
   • 2.8k views
   • 
   • Guest
   • September 29, 2003

4. Small Account Balances in a Daily Plan

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

5. Fiduciary indemnification

   By Guest jim williams, September 26, 2006
   • 2 replies
   • 2.8k views
   • 
   • QDROphile
   • October 17, 2006

6. Vesting requirement for defined contribution plans - Excess Aggregate Contribution Refunds.

   By Guest Cliff Langwith, March 9, 2004
   • 0 replies
   • 2.7k views
   • 
   • Guest
   • March 9, 2004

7. NSCC/DCCS Link - how well is it working for you?

   By Guest Carol Ringwald, February 23, 1999
   • 3 replies
   • 2.7k views
   • 
   • Guest
   • August 1, 1999

8. 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

9. Self Directed Brokerage Accounts

   By Guest Jennyb473, October 14, 2008
   • 3 replies
   • 2.7k views
   • 
   • QDROphile
   • October 14, 2008

10. Is oil well income unrelated business income?

    By Flyboyjohn, September 9, 2014
    • 10 replies
    • 2.7k views
    • 
    • GMK
    • January 7, 2015

11. Hours of Service

    By Guest Ohio City, February 23, 2009
    • 1 reply
    • 2.7k views
    • 
    • Guest
    • February 23, 2009

12. Financial Advisor conflict ?

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

13. Looking for sample investment policy statements

    By Guest Mary Sullivan, July 18, 2000
    • 3 replies
    • 2.7k views
    • 
    • Guest
    • August 15, 2000

14. Fully Benefit-responsive Contracts

    By Guest guest101, August 15, 2011
    • 0 replies
    • 2.7k views
    • 
    • Guest
    • August 15, 2011

15. different investments for principals

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

16. Should company stock be an optional self-directed investment for parti

    By Dave Baker, July 14, 2000
    • 11 replies
    • 2.6k views
    • 
    • Guest
    • July 29, 2000

17. Forfeitures in daily valued plans.

    By Guest Giovanni, March 20, 2001
    • 5 replies
    • 2.6k views
    • 
    • Guest
    • April 2, 2001

18. Frozen MPP plan....adding new investments.

    By Lori H, June 3, 2013
    • 5 replies
    • 2.6k views
    • 
    • Lori H
    • June 4, 2013

19. participants investing in company projects

    By maverick, August 26, 2007
    • 4 replies
    • 2.6k views
    • 
    • J Simmons
    • August 27, 2007

20. Real Estate LLC and Regulated Financial Institution

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

21. 1st Golbal Valuation Program

    By Hoard1, June 8, 1999
    • 1 reply
    • 2.6k views
    • 
    • Guest
    • June 11, 1999

22. Can Participants Use IDA to Purchase Company Headquarters?

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

23. Direct trades at fund company

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

24. Y2K Compliance

    By Guest P A Weick, April 14, 1999
    • 1 reply
    • 2.6k views
    • 
    • Guest
    • April 14, 1999

25. Can the employer/plan sponsor pay the asset management charges and get

    By Guest William Lehman, May 5, 1999
    • 1 reply
    • 2.6k views
    • 
    • Guest
    • May 6, 1999

26. Replacing a Insurance policy with a new policy

    By Lori H, May 7, 2008
    • 11 replies
    • 2.6k views
    • 
    • Lori H
    • May 12, 2008

27. Blackout Period

    By Guest ljh1969, November 30, 2004
    • 0 replies
    • 2.5k views
    • 
    • Guest
    • November 30, 2004

28. self directed brokerage (high net worth investments)

    By k man, February 26, 2013
    • 4 replies
    • 2.5k views
    • 
    • John G
    • March 14, 2013

29. Investing in Venture Capital Funds

    By Guest AJ Milano, September 11, 2000
    • 3 replies
    • 2.5k views
    • 
    • Guest
    • September 11, 2000

30. Calculating a contribution for a plan that is integrated with social s

    By Guest mam, December 15, 1999
    • 1 reply
    • 2.5k views
    • 
    • Guest
    • December 15, 1999

31. Real Estate under LLC as Investment in 401(k)/PSP

    By Guest YATPA, October 10, 2005
    • 4 replies
    • 2.5k views
    • 
    • Alf
    • October 11, 2005

32. Broker-dealer that sponsors 401k plan serving as their own broker

    By Laura Harrington, May 8, 2009
    • 3 replies
    • 2.5k views
    • 
    • Guest
    • July 7, 2009

33. Document retention/Electronic storage

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

34. Financial advisor who wants to do good

    By Santo Gold, May 24, 2006
    • 11 replies
    • 2.5k views
    • 
    • Bird
    • May 25, 2006

35. Handling distribution checks - bonding or fiduciary issues?

    By Guest crosseyetester, February 2, 2007
    • 4 replies
    • 2.5k views
    • 
    • J Simmons
    • May 23, 2007

36. IRA Trustee for non-marketable assets

    By Guest Judy Miller, January 7, 2002
    • 2 replies
    • 2.5k views
    • 
    • mbozek
    • January 15, 2002

37. Nonqualifying asset bond

    By Guest Pensions in Paradise, September 19, 2003
    • 0 replies
    • 2.5k views
    • 
    • Guest
    • September 19, 2003

38. ERISA 101(m) Diversification Noitce

    By Randy Watson, November 8, 2007
    • 0 replies
    • 2.5k views
    • 
    • Randy Watson
    • November 8, 2007

39. Processing Trades

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

40. QPAM

    By Randy Watson, June 5, 2008
    • 1 reply
    • 2.5k views
    • 
    • Randy Watson
    • June 10, 2008

41. With a brokerage window, does the employer get details on which stocks employees buy and sell?

    By Peter Gulia, June 26, 2023
    • 12 replies
    • 2.5k views
    • 
    • RatherBeGolfing
    • June 27, 2023

42. Eligible Investment In Sdb Accounts? Options

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

43. Forgotten/unknown plan assets and how to handle them.

    By Guest CRA, November 19, 2003
    • 3 replies
    • 2.5k views
    • 
    • mbozek
    • November 19, 2003

44. Cash out & "Buy Backs"

    By Guest RJM, May 3, 2000
    • 3 replies
    • 2.4k views
    • 
    • Guest
    • May 9, 2000

45. Revenue Sharing

    By Randy Watson, November 22, 2005
    • 4 replies
    • 2.4k views
    • 
    • david rigby
    • November 24, 2005

46. TPA ratings

    By Guest MMM, February 25, 2000
    • 3 replies
    • 2.4k views
    • 
    • Guest
    • March 1, 2000

47. Cash basis & contribution allocations

    By Guest Stacey L Miller, July 21, 1999
    • 1 reply
    • 2.4k views
    • 
    • Guest
    • August 1, 1999

48. ERISA 404c Defense

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

49. $5,000 Cashout

    By Guest JWBrown, April 22, 2000
    • 1 reply
    • 2.4k views
    • 
    • Guest
    • May 9, 2000

50. Charging Advisor Fees to Accounts

    By BTG, September 22, 2021
    • 5 replies
    • 2.4k views
    • 
    • Peter Gulia
    • September 30, 2021