Investment Issues (Including Self-Directed)

560 topics in this forum

1. HOA ownership

   By Monica Barnard, August 22, 2016
   • 2 replies
   • 1.5k views
   • 
   • QDROphile
   • August 23, 2016

2. Hours of Service

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

3. 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

4. How do participants get managed-account documents?

   By Peter Gulia, June 9, 2022
   • 0 replies
   • 525 views
   • 
   • Peter Gulia
   • June 9, 2022

5. How do retirement plans handle mutual funds’ proxies?

   By Peter Gulia, December 18, 2019   

   • proxy voting
   • 1 reply
   • 927 views
   • 
   • Peter Gulia
   • December 20, 2019

6. How do vendors deal with the company stock confidentiality limits plac

   By Guest Frank, August 21, 2000
   • 1 reply
   • 2k views
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   • Jon Chambers
   • September 20, 2000

7. How do you allocate the interest (or "float") from instituti

   By John A, February 23, 2001
   • 2 replies
   • 2.1k views
   • 
   • Guest
   • April 2, 2001

8. How do you invest a retirement plan that does not provide participant-directed investment?

   By Peter Gulia, November 30, 2020   

   • investment policy
   • 13 replies
   • 1.4k views
   • 
   • Bird
   • January 27, 2021

9. How do you track the amount to use for required minimum distributions,

   By John A, November 9, 2000
   • 0 replies
   • 1.9k views
   • 
   • John A
   • November 9, 2000

10. How many ERISA-governed plans have at least one participant’s account balance not fed to a recordkeeper’s system?

    By Peter Gulia, August 11, 2022
    • 10 replies
    • 1.2k views
    • 
    • Bird
    • August 15, 2022

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

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

12. I Bonds in a qualified plan

    By bvhea, December 28, 2021
    • 5 replies
    • 901 views
    • 
    • Peter Gulia
    • January 6, 2022

13. 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

14. If you're a broker, what happens to commissions in your account?

    By Bri, August 7, 2001
    • 1 reply
    • 1.6k views
    • 
    • Guest
    • August 22, 2001

15. Ignore deferred vested former employee accounts in allocating investment earnings and losses?

    By Susan L, February 24, 2021
    • 9 replies
    • 1.3k views
    • 
    • RatherBeGolfing
    • February 26, 2021

16. In LaRue: Supreme Court Upholds Participant's Damages Claim

    By Dave Baker, February 20, 2008
    • 38 replies
    • 8.6k views
    • 
    • Guest
    • March 1, 2008

17. In Plan Roth 401(k) Conversion

    By RestAssured, September 11, 2018
    • 2 replies
    • 1.2k views
    • 
    • RestAssured
    • September 11, 2018

18. Individual Choice in Self-Directed Brokerage Programs

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

19. Individual Directed Accounts

    By Guest Alison Hetrick, July 1, 2000
    • 2 replies
    • 2k views
    • 
    • Guest
    • July 6, 2000

20. Ineligible Assets - Audit Info

    By RestAssured, May 30, 2023
    • 9 replies
    • 1.3k views
    • 
    • bito'money
    • June 6, 2023

21. Insurance

    By Archimage, March 13, 2003
    • 3 replies
    • 1.7k views
    • 
    • Kirk Maldonado
    • March 13, 2003

22. Insurance in 401k

    By Guest gwelsmore, April 19, 2012
    • 1 reply
    • 1.3k views
    • 
    • ETA Consulting LLC
    • April 20, 2012

23. Insurance in profit sharing plan

    By Guest tbyrd, August 20, 2003
    • 1 reply
    • 1.6k views
    • 
    • Guest
    • August 21, 2003

24. Interest accrual in daily valued plans?

    By John A, July 25, 2001
    • 6 replies
    • 4k views
    • 
    • Guest
    • May 20, 2002

25. Internal Investment Advisor

    By Guest Richard Tennenbaum, November 30, 2007
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • November 30, 2007

26. Invest in Business

    By Randy Watson, April 9, 2008
    • 2 replies
    • 1.5k views
    • 
    • John Feldt ERPA CPC QPA
    • April 9, 2008

27. Invest in the TPA?

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

28. 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

29. Investing in Venture Capital Funds

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

30. Investing with Margin

    By Guest tedmunice, June 11, 2012
    • 1 reply
    • 2.1k views
    • 
    • ESOP Guy
    • June 11, 2012

31. Investment Advice

    By Guest pjb, May 29, 2003
    • 1 reply
    • 1.7k views
    • 
    • Jon Chambers
    • June 3, 2003

32. Investment Advice -- PPA or pre-PPA rules?

    By Guest HRAdvisor, November 6, 2007
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • November 6, 2007

33. Investment Advice & Guidance for Plan Participants

    By Guest danc4639, April 1, 2004
    • 1 reply
    • 2k views
    • 
    • david rigby
    • April 2, 2004

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

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

35. Investment Advice Under 2550.408(g)-1

    By EPCRSGuru, August 13, 2012
    • 0 replies
    • 1.5k views
    • 
    • EPCRSGuru
    • August 13, 2012

36. Investment Advice v Education

    By rlb64, September 17, 2004
    • 12 replies
    • 3.1k views
    • 
    • mbozek
    • September 27, 2004

37. 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
    • 712 views
    • 
    • With Appreciation....
    • July 16

38. Investment advisor question (re: erisa bond)

    By Moe Howard, April 12, 2007
    • 5 replies
    • 3.7k views
    • 
    • QDROphile
    • November 1, 2007

39. Investment and Administrative Services Agreement for UK Plan

    By Guest Edward McElroy, March 22, 2002
    • 1 reply
    • 1.7k views
    • 
    • mbozek
    • March 23, 2002

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

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

41. investment committee

    By k man, August 13, 2001
    • 1 reply
    • 1.9k views
    • 
    • Jon Chambers
    • August 20, 2001

42. Investment Education

    By Guest natasha, March 7, 2002
    • 0 replies
    • 1.2k views
    • 
    • Guest
    • March 7, 2002

43. Investment errors

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

44. Investment Expense Ratios

    By austin3515, June 2, 2008
    • 0 replies
    • 1.9k views
    • 
    • austin3515
    • June 2, 2008

45. Investment Firm Provides Opinion on 401(k) Fee Disclosure

    By Dave Baker, March 8, 2007
    • 6 replies
    • 3.9k views
    • 
    • Guest
    • June 18, 2007

46. Investment Firm Refuses To Correct 1099-DIV

    By mming, February 2, 2013
    • 9 replies
    • 4k views
    • 
    • WDIK
    • February 14, 2013

47. Investment in a restaurant

    By Gary, August 11, 2010
    • 2 replies
    • 1.6k views
    • 
    • J Simmons
    • September 12, 2010

48. Investment in insurance on spouse

    By MPLSLAW, May 3, 2006
    • 0 replies
    • 1.4k views
    • 
    • MPLSLAW
    • May 3, 2006

49. Investment in IPO's

    By bzorc, May 14, 2012
    • 10 replies
    • 2k views
    • 
    • mbozek
    • May 24, 2012

50. Investment in Real Estate

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