Investment Issues (Including Self-Directed)

560 topics in this forum

1. Can a participant pay her adviser’s fees from her plan account?

   By Peter Gulia, July 7, 2020   

   • fees; investment advice
   • 11 replies
   • 2.4k views
   • 
   • Peter Gulia
   • July 8, 2020

2. non-owner participant wants to purchase real estate

   By TPAnnie, August 27, 2008
   • 9 replies
   • 2.4k views
   • 
   • Peter Gulia
   • August 28, 2008

3. Plan Investments

   By Guest Trainer, April 10, 2002
   • 2 replies
   • 2.4k views
   • 
   • Mike Preston
   • April 10, 2002

4. QDIA Notices

   By DTH, January 30, 2008
   • 2 replies
   • 2.4k views
   • 
   • John Feldt ERPA CPC QPA
   • January 30, 2008

5. Self-Direction Discrimination?

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

6. NSCC trading

   By Guest EricL, August 15, 2001
   • 1 reply
   • 2.4k views
   • 
   • Guest
   • August 20, 2001

7. Allocating Dividends in Daily Plans

   By Guest wolfman, June 7, 2001
   • 1 reply
   • 2.3k views
   • 
   • bzorc
   • June 8, 2001

8. Data for 404a5

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

9. Recordkeeping Processing Time

   By Guest blkdoro, August 6, 2003
   • 0 replies
   • 2.3k views
   • 
   • Guest
   • August 6, 2003

10. Proposed Fee Disclosure Regulations

    By jpod, May 28, 2008
    • 3 replies
    • 2.3k views
    • 
    • Peter Gulia
    • May 29, 2008

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

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

12. Real estate in MPPP

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

13. Looking for companies who write daily valuation programs.

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

14. NSCC link for Quantech

    By Guest Carol Ringwald, March 22, 1999
    • 0 replies
    • 2.3k views
    • 
    • Guest
    • March 22, 1999

15. What is your policy on the treatment of excess cash created from corre

    By John A, February 5, 2001
    • 3 replies
    • 2.3k views
    • 
    • Guest
    • February 7, 2001

16. Fiduciary with insider information

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

17. Avoiding PS 58 Costs?

    By Lori H, October 17, 2007
    • 3 replies
    • 2.3k views
    • 
    • Bird
    • October 20, 2007

18. Trade Authorization

    By Guest Ben Schmidt, November 9, 2010
    • 2 replies
    • 2.3k views
    • 
    • mbozek
    • November 13, 2010

19. DB & DC combination

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

20. Plan & ER own same Realty in PSP

    By Guest Ddalk, August 12, 2003
    • 8 replies
    • 2.3k views
    • 
    • Guest
    • August 14, 2003

21. Gain on Forfeitures

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

22. Current Recordkeeping Platforms

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

23. "pink sheet" investments

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

24. What are the fiduciary responsibilities of a TPA and a Bundled Service

    By Guest UKH, July 25, 2000
    • 1 reply
    • 2.3k views
    • 
    • Guest
    • July 27, 2000

25. May a 401(k) plan refuse paper investment directions?

    By Peter Gulia, May 13, 2009
    • 10 replies
    • 2.3k views
    • 
    • J Simmons
    • May 14, 2009

26. Viator policies in profit sharing plans

    By Guest MELODY LOVE, February 21, 2001
    • 12 replies
    • 2.3k views
    • 
    • Bill Berke
    • February 23, 2001

27. Daily Val Acct Admin Salary

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

28. How about this one...is it prohibited?Soft-dollars in collective funds where <25% of investors are retirement plan assets

    By Guest Lebowski, July 18, 2005
    • 2 replies
    • 2.2k views
    • 
    • Guest
    • July 18, 2005

29. no adviser wanted

    By gregburst, August 30, 2012
    • 13 replies
    • 2.2k views
    • 
    • david rigby
    • September 4, 2012

30. Prohibited Transaction Class Exemption

    By Guest Pennysaver, March 19, 2012
    • 1 reply
    • 2.2k views
    • 
    • jpod
    • March 20, 2012

31. PS plan investment

    By Guest babs51, September 7, 2006
    • 7 replies
    • 2.2k views
    • 
    • Bird
    • September 8, 2006

32. Investment in Real Estate

    By Brian Haynes, October 11, 2006
    • 2 replies
    • 2.2k views
    • 
    • Brian Haynes
    • October 12, 2006

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

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

34. proprietary funds and 406(b)

    By Guest cac1134, December 27, 2007
    • 1 reply
    • 2.2k views
    • 
    • Peter Gulia
    • December 28, 2007

35. Investment errors

    By Guest Sieve, May 7, 2009
    • 9 replies
    • 2.2k views
    • 
    • Guest
    • May 8, 2009

36. Participant Directing Plan to Purchase Annuity

    By chris, March 31, 2003
    • 0 replies
    • 2.2k views
    • 
    • chris
    • March 31, 2003

37. Recordkeeping System-Daily

    By Guest 401KTPA, November 1, 2002
    • 1 reply
    • 2.2k views
    • 
    • Guest
    • November 1, 2002

38. Daily Val done at fund company?

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

39. Participant Directed?

    By Guest jmlumpkin, March 18, 2004
    • 9 replies
    • 2.2k views
    • 
    • Guest
    • March 30, 2004

40. "Best Practices"

    By Guest cjk, September 12, 2002
    • 0 replies
    • 2.2k views
    • 
    • Guest
    • September 12, 2002

41. Liquidation of participant-directed brokerage accounts authorized by plan trustee

    By lisabroc, April 7, 2016
    • 8 replies
    • 2.2k views
    • 
    • lisabroc
    • April 8, 2016

42. Invest in the TPA?

    By K-t-F, June 14, 2004
    • 3 replies
    • 2.2k views
    • 
    • JanetM
    • June 21, 2004

43. 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

44. Individual Choice in Self-Directed Brokerage Programs

    By Guest kfel, October 18, 2000
    • 2 replies
    • 2.2k views
    • 
    • Guest
    • October 19, 2000

45. Employer Securities

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

46. The Florida Retirement System's Investment Plan

    By joel, April 19, 2002
    • 1 reply
    • 2.1k views
    • 
    • Jon Chambers
    • May 7, 2002

47. 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

48. Son as Fiduciary of Dad's IRA: Prohibited Transaction?

    By Guest reg_h2b, January 4, 2001
    • 1 reply
    • 2.1k views
    • 
    • Guest
    • April 26, 2001

49. "Due Diligence"

    By SMB, October 5, 2008
    • 0 replies
    • 2.1k views
    • 
    • SMB
    • October 5, 2008

50. Prefunded Money Purchase Contribution

    By Guest Grumpy456, November 4, 2008
    • 13 replies
    • 2.1k views
    • 
    • Bird
    • November 6, 2008