Investment Issues (Including Self-Directed)

566 topics in this forum

1. Life policy in a terminating plan

   By Lori H, July 22, 2010
   • 11 replies
   • 1.9k views
   • 
   • Lori H
   • September 2, 2010

2. 404(c) Plan

   By Guest Sieve, August 16, 2010
   • 1 reply
   • 1.7k views
   • 
   • Peter Gulia
   • August 16, 2010

3. Trying to get rid of LLC in plan

   By AKconsult, August 5, 2010
   • 7 replies
   • 1.9k views
   • 
   • QDROphile
   • August 6, 2010

4. Loans to sponsor

   By Guest JPIngold, July 30, 2010
   • 1 reply
   • 1.3k views
   • 
   • Guest
   • July 30, 2010

5. Hedge Fund - Qualifying?

   By Guest TimS, July 21, 2010
   • 0 replies
   • 1.3k views
   • 
   • Guest
   • July 21, 2010

6. Would the Voluntary Fiduciary Correction Program apply here?

   By katieinny, July 16, 2010
   • 3 replies
   • 1.4k views
   • 
   • katieinny
   • July 16, 2010

7. plan investments

   By Gary, July 15, 2010
   • 3 replies
   • 1.3k views
   • 
   • movedon
   • July 16, 2010

8. Bank Plans/ Fees/ Fiduciary Question

   By IRC401, August 7, 2000
   • 9 replies
   • 5k views
   • 
   • Guest
   • June 30, 2010

9. Purchasing employer securities from a 401k plan

   By gregburst, June 10, 2010
   • 1 reply
   • 1.8k views
   • 
   • QDROphile
   • June 10, 2010

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

    By waid10, May 28, 2010
    • 2 replies
    • 1.6k views
    • 
    • Peter Gulia
    • May 29, 2010

11. Dividends in a daily system

    By Guest lawman98, April 2, 2010
    • 0 replies
    • 4.4k views
    • 
    • Guest
    • April 2, 2010

12. Charles Schwab

    By 12AX7, March 24, 2010
    • 5 replies
    • 3.2k views
    • 
    • 12AX7
    • March 26, 2010

13. Heads or tails?

    By SMB, March 8, 2010
    • 4 replies
    • 1.9k views
    • 
    • Guest
    • March 10, 2010

14. DOL Proposed Regulation

    By PLAN MAN, February 26, 2010
    • 1 reply
    • 1.4k views
    • 
    • david rigby
    • February 26, 2010

15. Investment in Real Estate

    By TPA Bob, November 17, 2009
    • 2 replies
    • 1.5k views
    • 
    • Guest
    • February 20, 2010

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

    By Gudgergirl, January 28, 2010
    • 4 replies
    • 1.7k views
    • 
    • Guest
    • February 16, 2010

17. Investment Loss Notice

    By Monica Barnard, January 8, 2010
    • 1 reply
    • 1.3k views
    • 
    • Bird
    • January 8, 2010

18. Prohibited Transaction?

    By Dougsbpc, December 24, 2009
    • 1 reply
    • 1.4k views
    • 
    • jpod
    • December 24, 2009

19. "Found" Assets

    By Rob P, December 4, 2009
    • 1 reply
    • 1.8k views
    • 
    • JanetM
    • December 5, 2009

20. Listing of QDIAs?

    By J Simmons, October 12, 2009
    • 1 reply
    • 2k views
    • 
    • MSN
    • October 12, 2009

21. Mix and Match Personal Funds and Plan Benefits in an investment

    By Oh so SIMPLE, October 6, 2009
    • 10 replies
    • 2k views
    • 
    • Ron Snyder
    • October 12, 2009

22. Investment instructions for plan assets were not followed for 10 years

    By katieinny, September 22, 2009
    • 2 replies
    • 1.6k views
    • 
    • J Simmons
    • September 22, 2009

23. Self-directed investment option (wide open)

    By PJ2009, September 15, 2009
    • 2 replies
    • 1.5k views
    • 
    • mbozek
    • September 15, 2009

24. Life Insurance Benficiary

    By Guest mcw, September 10, 2009
    • 16 replies
    • 3.4k views
    • 
    • J Simmons
    • September 12, 2009

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

    By Guest jmc51, March 26, 2009
    • 16 replies
    • 18.5k views
    • 
    • Guest
    • September 2, 2009

26. Settlement proceeds

    By Bird, August 25, 2009
    • 1 reply
    • 1.5k views
    • 
    • Peter Gulia
    • August 25, 2009

27. Change in Investment Options

    By benpat3, July 13, 2009
    • 0 replies
    • 1.8k views
    • 
    • benpat3
    • July 13, 2009

28. Universal Life Insurance in a Profit Sharing Plan

    By PJ2009, July 8, 2009
    • 12 replies
    • 5.6k views
    • 
    • Bill Presson
    • July 10, 2009

29. ERISA 404c Defense

    By J Simmons, June 29, 2009
    • 5 replies
    • 2.5k views
    • 
    • mbozek
    • July 8, 2009

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

    By Laura Harrington, May 8, 2009
    • 3 replies
    • 2.7k views
    • 
    • Guest
    • July 7, 2009

31. Using plan assets to purchase business

    By Monica Barnard, June 24, 2009
    • 3 replies
    • 1.5k views
    • 
    • Monica Barnard
    • June 24, 2009

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

    By Guest JRERISA, June 19, 2009
    • 0 replies
    • 2.1k views
    • 
    • Guest
    • June 19, 2009

33. Life insurance as qualified plan investment

    By Guest Sieve, April 28, 2009
    • 20 replies
    • 4.9k views
    • 
    • Below Ground
    • June 4, 2009

34. re-setting the cost basis

    By Guest Iwonder, May 13, 2009
    • 8 replies
    • 3.4k views
    • 
    • masteff
    • May 15, 2009

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

    By Peter Gulia, May 13, 2009
    • 10 replies
    • 2.5k views
    • 
    • J Simmons
    • May 14, 2009

36. Investment errors

    By Guest Sieve, May 7, 2009
    • 9 replies
    • 2.3k views
    • 
    • Guest
    • May 8, 2009

37. Quailfying Employer Real Property

    By amcorson, May 5, 2009
    • 0 replies
    • 1.2k views
    • 
    • amcorson
    • May 5, 2009

38. Limit on Self-Directed Brokerage?

    By CJS07, April 29, 2009
    • 1 reply
    • 1.5k views
    • 
    • WDIK
    • April 29, 2009

39. term life insurance in DC plan

    By AKconsult, April 28, 2009
    • 2 replies
    • 1.7k views
    • 
    • Belgarath
    • April 28, 2009

40. Potential Party In Interest

    By Below Ground, April 8, 2009
    • 1 reply
    • 1.7k views
    • 
    • Below Ground
    • April 9, 2009

41. different investments for principals

    By Guest lip, April 1, 2009
    • 3 replies
    • 2.7k views
    • 
    • JanetM
    • April 2, 2009

42. Gold Coins

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

43. Simple ERISA 404(b) Question

    By Guest cphcs, March 26, 2009
    • 3 replies
    • 1.9k views
    • 
    • QDROphile
    • March 26, 2009

44. broker fraud

    By pgold, March 25, 2009
    • 5 replies
    • 1.6k views
    • 
    • pgold
    • March 26, 2009

45. Self-Directed Brokerage Accounts

    By Guest MikeAIGFA, March 2, 2009
    • 2 replies
    • 1.4k views
    • 
    • J Simmons
    • March 2, 2009

46. Hours of Service

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

47. Open Brokerage and 404(c)

    By Randy Watson, August 25, 2008
    • 9 replies
    • 4.1k views
    • 
    • J Simmons
    • February 14, 2009

48. Accrual Year-End Report Required?

    By Guest North Meets South, January 26, 2009
    • 4 replies
    • 3k views
    • 
    • K2retire
    • January 28, 2009

49. Savings & Loan with self investing?

    By Guest Margaret25, January 19, 2009
    • 0 replies
    • 1.2k views
    • 
    • Guest
    • January 19, 2009

50. Madoff investment as a prohibited transaction?

    By Peter Gulia, January 7, 2009
    • 3 replies
    • 1.9k views
    • 
    • Peter Gulia
    • January 8, 2009