Investment Issues (Including Self-Directed)

560 topics in this forum

1. 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

2. Charging Advisor Fees to Accounts

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

3. Employer stock in 401(k) Plan

   By Tegernsee, March 20, 2024
   • 5 replies
   • 1.4k views
   • 
   • rocknrolls2
   • March 21, 2024

4. Frozen MPP plan....adding new investments.

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

5. Real Estate Valuation

   By Guest DTromb, May 31, 2006
   • 5 replies
   • 2k views
   • 
   • SoCalActuary
   • May 31, 2006

6. State Taxation of Trust with UBIT

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

7. 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

8. Moody's warns on money market mutual funds

   By masteff, July 26, 2011
   • 5 replies
   • 1.6k views
   • 
   • GMK
   • July 27, 2011

9. Education or Advice

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

10. Foreign investments

    By Medusa, May 12, 2008
    • 5 replies
    • 1.5k views
    • 
    • Medusa
    • May 13, 2008

11. Forfeitures in daily valued plans.

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

12. Charles Schwab

    By 12AX7, March 24, 2010
    • 5 replies
    • 3k views
    • 
    • 12AX7
    • March 26, 2010

13. Can a participant direct investments into undeveloped real estate?

    By Guest, January 22, 2001
    • 4 replies
    • 2k views
    • 
    • AndyH
    • February 22, 2001

14. I know this is a bad idea - need help explaining why

    By Gudgergirl, January 28, 2010
    • 4 replies
    • 1.6k views
    • 
    • Guest
    • February 16, 2010

15. Revenue Sharing

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

16. Investing in a UK based company

    By K-t-F, September 13, 2022
    • 4 replies
    • 1.6k views
    • 
    • Guy on a Limb
    • November 29, 2022

17. dividends received after participant is paid out

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

18. Distribution and stock market issue

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

19. Participant litigation v trustees regarding investments?

    By Guest mikeymo, June 3, 2004
    • 4 replies
    • 1.4k views
    • 
    • Jon Chambers
    • June 5, 2004

20. 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

21. Handling distribution checks - bonding or fiduciary issues?

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

22. Investments Allowed

    By Guest Sayles, August 22, 2006
    • 4 replies
    • 2k views
    • 
    • WDIK
    • August 25, 2006

23. Can A Qualified Plan Invest in Foreign Real Estate?

    By Dougsbpc, May 29, 2014
    • 4 replies
    • 1.8k views
    • 
    • Flyboyjohn
    • May 29, 2014

24. IRA-Only Hedge Fund Investments....Plan Assets?

    By Christine Roberts, February 19, 2013
    • 4 replies
    • 3.7k views
    • 
    • jpod
    • February 25, 2013

25. Investment timeing

    By Guest dokc, July 21, 2004
    • 4 replies
    • 3.3k views
    • 
    • alanm
    • September 7, 2004

26. 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

27. 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

28. Gold Coins

    By TPA Bob, March 30, 2009
    • 4 replies
    • 1.9k views
    • 
    • Guest
    • April 2, 2009

29. Heads or tails?

    By SMB, March 8, 2010
    • 4 replies
    • 1.8k views
    • 
    • Guest
    • March 10, 2010

30. May a plan restrict the brokerage window to those who hold the CFA designation?

    By Peter Gulia, July 9, 2011
    • 4 replies
    • 1.6k views
    • 
    • Peter Gulia
    • July 9, 2011

31. 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
    • 852 views
    • 
    • Peter Gulia
    • September 20, 2017

32. Electronic Mutual Fund Prospectuses

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

33. participants investing in company projects

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

34. self directed brokerage (high net worth investments)

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

35. unrestricted investment options

    By Guest jmlumpkin, October 12, 2005
    • 4 replies
    • 2.1k views
    • 
    • mbozek
    • October 13, 2005

36. Employee Match Investment Plan

    By Guest carrolgd, September 21, 2001
    • 4 replies
    • 1.9k views
    • 
    • Guest
    • September 25, 2001

37. Accrual Year-End Report Required?

    By Guest North Meets South, January 26, 2009
    • 4 replies
    • 2.9k views
    • 
    • K2retire
    • January 28, 2009

38. 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
    • 5.1k views
    • 
    • Pam Shoup
    • March 2, 2018

39. Can an ERISA plan invest in a medical marijuana company?

    By Miner88, May 11, 2021   

    • marijuana
    • investment
    • (and 1 more)

      Tagged with:

      • marijuana
      • investment
      • erisa plan
    • 4 replies
    • 1.3k views
    • 
    • Miner88
    • May 13, 2021

40. 401k Fees -Working?

    By goldtpa, September 21, 2012
    • 4 replies
    • 1.3k views
    • 
    • GMK
    • September 21, 2012

41. Earnings on Forfeitures

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

42. Fees

    By Guest tintree73, May 23, 2003
    • 4 replies
    • 1.8k views
    • 
    • Guest
    • May 27, 2003

43. Life Insurance rolled into a 401(k) Plan

    By britoski, April 5, 2012
    • 4 replies
    • 2.2k views
    • 
    • Guest
    • April 16, 2012

44. Is it difficult to implement an automatic-contribution arrangement for a brokerage-window-only plan?

    By Peter Gulia, September 24, 2024
    • 4 replies
    • 589 views
    • 
    • Gina Alsdorf
    • September 24, 2024

45. Owner-only PS Plan

    By SMB, August 26, 2011
    • 4 replies
    • 1.8k views
    • 
    • mbozek
    • August 29, 2011

46. Fiduciary Consequences of Paying Withdrawal or Exit Fees

    By Christine Roberts, November 27, 2002
    • 4 replies
    • 1.5k views
    • 
    • KJohnson
    • November 27, 2002

47. The New Jersey Supplemental Annuity Collective Trust (SACT)

    By joel, December 5, 2013
    • 4 replies
    • 2.8k views
    • 
    • joel
    • December 8, 2013

48. Rent Payments From Trust Investments

    By Below Ground, August 7
    • 4 replies
    • 253 views
    • 
    • Below Ground
    • August 8

49. 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

50. TD Ameritrade SDIB - arggh

    By Bird, December 6, 2023
    • 4 replies
    • 1.6k views
    • 
    • Bird
    • December 13, 2023