Investment Issues (Including Self-Directed)

560 topics in this forum

1. Prohibited Transaction Exemption

   By imchipbrown, October 5, 2011
   • 4 replies
   • 1.4k views
   • 
   • Guest
   • October 9, 2011

2. Pooled Separate Accounts and ERISA

   By Guest curious jorge, February 16, 2005
   • 4 replies
   • 14.7k views
   • 
   • PLAN MAN
   • November 29, 2006

3. Converting To Self-Directed Solo 401K

   By Guest cloud9, June 9, 2013
   • 3 replies
   • 1.7k views
   • 
   • K2retire
   • June 21, 2013

4. Key Man life insurance in a DC plan; plan is owner and ER is beneficiary

   By katieinny, May 19, 2011
   • 3 replies
   • 1.7k views
   • 
   • Bird
   • May 20, 2011

5. More liability for removing than "freezing" a poor-performing fund?

   By ERISAatty, November 15, 2011
   • 3 replies
   • 1.4k views
   • 
   • QDROphile
   • November 15, 2011

6. Rental Property in Retirement Plan with Segregated Accounts??

   By Guest DeePA, January 9, 2003
   • 3 replies
   • 1.9k views
   • 
   • mbozek
   • January 10, 2003

7. Real Estate in a DB Plan

   By eilano, August 15, 2006
   • 3 replies
   • 1.8k views
   • 
   • jpod
   • August 15, 2006

8. Return of investment "re-pricing" losses - how to allocate?

   By t.haley, July 3, 2014
   • 3 replies
   • 1.3k views
   • 
   • BG5150
   • July 7, 2014

9. plan investments

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

10. Would the Voluntary Fiduciary Correction Program apply here?

    By katieinny, July 16, 2010
    • 3 replies
    • 1.3k views
    • 
    • katieinny
    • July 16, 2010

11. Will anyone use the new exemption?

    By Peter Gulia, November 17, 2011
    • 3 replies
    • 1.8k views
    • 
    • Guest
    • November 18, 2011

12. Sub T/A fees

    By Guest cascigm, May 25, 1999
    • 3 replies
    • 5.2k views
    • 
    • Guest
    • May 28, 1999

13. Simple ERISA 404(b) Question

    By Guest cphcs, March 26, 2009
    • 3 replies
    • 1.8k views
    • 
    • QDROphile
    • March 26, 2009

14. Prohibited Transaction, yea or nay?

    By Doghouse, February 11, 2013
    • 3 replies
    • 1.4k views
    • 
    • Mike Preston
    • February 13, 2013

15. 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

16. Bitcoins

    By Monica Barnard, May 22, 2017
    • 3 replies
    • 1.4k views
    • 
    • CuseFan
    • May 23, 2017

17. TPA ratings

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

18. PT avoidance for sale of land

    By Young Curmudgeon, June 7, 2012
    • 3 replies
    • 1.3k views
    • 
    • ETA Consulting LLC
    • June 7, 2012

19. Cash out & "Buy Backs"

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

20. Trustee & owner places assets with its customer

    By Beltane, December 14, 2007
    • 3 replies
    • 1.5k views
    • 
    • Peter Gulia
    • December 17, 2007

21. Removing Participant Direction of Investment

    By Oh so SIMPLE, June 8, 2012
    • 3 replies
    • 1.7k views
    • 
    • Bird
    • June 11, 2012

22. Participant loaning money to individual as an "investment"

    By t.haley, June 4, 2015
    • 3 replies
    • 1.2k views
    • 
    • t.haley
    • June 4, 2015

23. PT for accounting firm to invest its plans assets through wholly-owned

    By Guest EMC, October 27, 2000
    • 3 replies
    • 1.7k views
    • 
    • Jon Chambers
    • December 21, 2000

24. Self-directed brokerage accounts

    By Guest YATPA, May 1, 2002
    • 3 replies
    • 3.2k views
    • 
    • mbozek
    • May 1, 2002

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

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

26. Prohibited transaction re: Trustee of mutual fund

    By Bill Presson, June 19, 2013
    • 3 replies
    • 1.6k views
    • 
    • Bill Presson
    • June 20, 2013

27. Bond?

    By Randy Watson, January 8, 2007
    • 3 replies
    • 1.9k views
    • 
    • QDROphile
    • January 9, 2007

28. Is it proper for an investment adviser to a multiemployer pension fund to collect an annual fee from the fund while receiving commissions on sales to the fund?

    By Guest ooota, August 27, 2003
    • 3 replies
    • 2k views
    • 
    • mal
    • September 23, 2003

29. Investment advisor is contacted by a participant for individual investment advice for the participant's personal asset portfolio

    By With Appreciation...., May 14
    • 3 replies
    • 699 views
    • 
    • With Appreciation....
    • July 16

30. is this a prohibited transaction

    By Guest kh1, April 8, 2011
    • 3 replies
    • 1.4k views
    • 
    • Guest
    • April 10, 2011

31. The sale of Real Estate from a Profit Sharing Plan

    By A Shot in the Dark, April 24, 2008
    • 3 replies
    • 3.9k views
    • 
    • GMK
    • April 25, 2008

32. Avoiding PS 58 Costs?

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

33. “401(k) Crypto Case Crumbles in Federal Court”

    By Peter Gulia, August 31, 2023
    • 3 replies
    • 960 views
    • 
    • Bri
    • February 24

34. Using plan assets to purchase business

    By Monica Barnard, June 24, 2009
    • 3 replies
    • 1.4k views
    • 
    • Monica Barnard
    • June 24, 2009

35. Self Directed Brokerage Accounts

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

36. Looking for sample investment policy statements

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

37. different investments for principals

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

38. Tullis v UMB Bank

    By J Simmons, August 21, 2009
    • 3 replies
    • 2.9k views
    • 
    • Guest
    • May 24, 2011

39. Investment Application... Solo plan... "is plan an ERISA plan?"

    By Basically, March 13
    • 3 replies
    • 815 views
    • 
    • Basically
    • March 13

40. Investment Advice for Individual Participants ... from Plan Investment Advisor

    By Lois Baker, May 27
    • 3 replies
    • 668 views
    • 
    • Peter Gulia
    • May 28

41. Proposed Fee Disclosure Regulations

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

42. Stock option in qualified plan

    By Guest Deflector, June 6, 2014
    • 3 replies
    • 1.6k views
    • 
    • RayJJohnsonJr
    • July 15, 2014

43. Self-Directed, sort of

    By gregburst, August 7, 2012
    • 3 replies
    • 1.4k views
    • 
    • Doghouse
    • August 8, 2012

44. Investing in Venture Capital Funds

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

45. Discriminatory?

    By Randy Watson, December 30, 2008
    • 3 replies
    • 1.3k views
    • 
    • J Simmons
    • December 31, 2008

46. Prohibited Transaction?

    By Guest Iwonder, October 22, 2010
    • 3 replies
    • 1.6k views
    • 
    • MSN
    • October 25, 2010

47. Administration Software

    By Guest Pensions in Paradise, March 7, 2003
    • 3 replies
    • 3.9k views
    • 
    • Guest
    • April 25, 2003

48. Invest in the TPA?

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

49. Can redemption fees be reimbursed by plan sponsor

    By Guest Jennyb473, December 9, 2011
    • 3 replies
    • 1.8k views
    • 
    • Guest
    • December 12, 2011

50. co-investing?

    By Earl, May 19, 2016
    • 3 replies
    • 1.1k views
    • 
    • Earl
    • May 19, 2016