Investment Issues (Including Self-Directed)

560 topics in this forum

1. Employee Match Investment Plan

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

2. Employer Property as Investment in DC Plan

   By MarZDoates, November 20, 2001
   • 1 reply
   • 1.7k views
   • 
   • QDROphile
   • November 21, 2001

3. Employer Securities

   By Guest TCP, May 16, 2006
   • 0 replies
   • 2.2k views
   • 
   • Guest
   • May 16, 2006

4. Employer stock in 401(k) Plan

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

5. Employer Stock in Profit Sharing Plan

   By Dougsbpc, May 1, 2002
   • 2 replies
   • 1.8k views
   • 
   • pjkoehler
   • May 1, 2002

6. Enhanced Appreciation Securities

   By Guest pjb, July 15, 2003
   • 1 reply
   • 1.3k views
   • 
   • Kirk Maldonado
   • July 16, 2003

7. Enrollers handing out investment related information

   By k man, November 14, 2001
   • 1 reply
   • 1.6k views
   • 
   • Jon Chambers
   • November 16, 2001

8. ERISA 101(m) Diversification Noitce

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

9. ERISA 404(b) "indicia of ownership"

   By Guest jmc51, March 26, 2009
   • 16 replies
   • 17.7k views
   • 
   • Guest
   • September 2, 2009

10. ERISA 404c Defense

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

11. ERSOP - does this work?

    By Guest JPCMPLS, December 30, 2003
    • 1 reply
    • 2.9k views
    • 
    • IRC401
    • January 5, 2004

12. Escheatment and beneficiaries

    By bruce71, November 19, 2019
    • 0 replies
    • 765 views
    • 
    • bruce71
    • November 19, 2019

13. ESG and Advisory Responsibilities

    By BruceM, September 14, 2020
    • 0 replies
    • 883 views
    • 
    • BruceM
    • September 14, 2020

14. Establishing a business as a trustee

    By Guest R. Daestrom, November 8, 2002
    • 1 reply
    • 1.3k views
    • 
    • IRC401
    • November 9, 2002

15. Exceeding incidental benefit limitation in regards to life insurance.

    By Guest Mindy, April 28, 2000
    • 0 replies
    • 4.3k views
    • 
    • Guest
    • April 28, 2000

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

    By Below Ground, October 31, 2024
    • 5 replies
    • 1.5k views
    • 
    • Peter Gulia
    • November 5, 2024

17. Expenses and Daily Trades

    By Guest Richard Scheer, January 5, 2000
    • 16 replies
    • 3k views
    • 
    • Guest
    • January 14, 2000

18. Fee-based advisors

    By Bird, July 24, 2006
    • 12 replies
    • 3.7k views
    • 
    • Guest
    • November 11, 2006

19. Fees

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

20. Fiduciary and prohibited transaction

    By Guest WantsToLearn, November 11, 2006
    • 1 reply
    • 1.7k views
    • 
    • QDROphile
    • November 11, 2006

21. Fiduciary Consequences of Paying Withdrawal or Exit Fees

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

22. Fiduciary indemnification

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

23. Fiduciary Liability Master Class

    By Guest kristiena, September 9, 2002
    • 0 replies
    • 1.3k views
    • 
    • Guest
    • September 9, 2002

24. Fiduciary with insider information

    By Guest allisonperry, June 2, 2005
    • 7 replies
    • 2.3k views
    • 
    • Kirk Maldonado
    • June 10, 2005

25. Finance your new Business through a 401(k)

    By Guest NeophiteTPA, February 16, 2007
    • 11 replies
    • 5k views
    • 
    • Guest
    • October 18, 2007

26. Financial Advisor = Fiduciary?

    By Santo Gold, October 20, 2005
    • 24 replies
    • 7.9k views
    • 
    • Don Levit
    • January 25, 2006

27. Financial Advisor conflict ?

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

28. Financial advisor who wants to do good

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

29. Financial institution that can act as trustee for a plan holding trust

    By mming, November 9, 2000
    • 1 reply
    • 1.9k views
    • 
    • Mary Kay Foss
    • November 10, 2000

30. Forcing a Participant to sell investments.

    By katieinny, November 25, 2002
    • 39 replies
    • 4.8k views
    • 
    • IRC401
    • December 20, 2002

31. Foreign investment in rental property

    By angelajee, December 21, 2015   

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

32. Foreign investments

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

33. Foreign Tax Withholding

    By A Shot in the Dark, January 16, 2009
    • 10 replies
    • 3.2k views
    • 
    • JJA
    • October 16, 2015

34. Forfeitures in daily valued plans.

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

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

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

36. Form 926 For Qualified Plan's Investment in Offshore Hedge Fund

    By SycamoreFan, June 8, 2015
    • 0 replies
    • 1.2k views
    • 
    • SycamoreFan
    • June 8, 2015

37. Frozen MPP plan....adding new investments.

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

38. Fully Benefit-responsive Contracts

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

39. Gain on Forfeitures

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

40. Gold Coins

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

41. Group Annuity Contracts

    By BTG, March 13, 2012
    • 2 replies
    • 1.5k views
    • 
    • mbozek
    • March 13, 2012

42. group annuity products and schedule of assets held for investment

    By Guest jbrianhill, July 11, 2002
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • July 11, 2002

43. Guaranteed Annuity Contracts

    By Guest lerieleech, May 16, 2007
    • 0 replies
    • 1.3k views
    • 
    • Guest
    • May 16, 2007

44. Handling distribution checks - bonding or fiduciary issues?

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

45. Harris Trust court case - what is it, what does it say?

    By SMB, April 2, 2001
    • 1 reply
    • 2.1k views
    • 
    • Jon Chambers
    • April 2, 2001

46. 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
    • 1.9k views
    • 
    • MoJo
    • September 12, 2017

47. Has anyone seen an ERISA 408(g) compliance audit?

    By Peter Gulia, June 4, 2009
    • 7 replies
    • 6.5k views
    • 
    • Guest
    • March 10, 2012

48. Heads or tails?

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

49. Hedge Fund - Qualifying?

    By Guest TimS, July 21, 2010
    • 0 replies
    • 1.2k views
    • 
    • Guest
    • July 21, 2010

50. Hedge Fund Offer Own Investments in its Employer-Sponsored Plan?

    By waid10, May 28, 2010
    • 2 replies
    • 1.5k views
    • 
    • Peter Gulia
    • May 29, 2010