Investment Issues (Including Self-Directed)

560 topics in this forum

1. Prohibited transaction question

   By CassandraS, January 17, 2014
   • 3 replies
   • 2k views
   • 
   • QDROphile
   • January 7, 2015

2. legacy variable annuity 401(k)

   By Scuba 401, March 11, 2019
   • 3 replies
   • 1.3k views
   • 
   • FPGuy
   • March 13, 2019

3. Purchasing a LLC interest.

   By Guest mab, April 26, 2004
   • 3 replies
   • 2k views
   • 
   • Guest
   • April 26, 2004

4. 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

5. Madoff investment as a prohibited transaction?

   By Peter Gulia, January 7, 2009
   • 3 replies
   • 1.8k views
   • 
   • Peter Gulia
   • January 8, 2009

6. What information do you use to evaluate investment funds?

   By Peter Gulia, June 19, 2017
   • 3 replies
   • 965 views
   • 
   • Peter Gulia
   • June 19, 2017

7. Allocation Requirements

   By Fred Payne, October 1, 2002
   • 3 replies
   • 2.8k views
   • 
   • Fred Payne
   • October 1, 2002

8. Unrelated business taxable income

   By Guest Patrice Kramm, December 16, 2002
   • 3 replies
   • 1.7k views
   • 
   • jpod
   • December 16, 2002

9. American Funds PlanPremier TPA

   By Bird, February 19, 2010
   • 3 replies
   • 6.5k views
   • 
   • BG5150
   • January 6, 2016

10. Recovering withheld earnings

    By Bird, September 28, 2012
    • 3 replies
    • 1.4k views
    • 
    • Bird
    • September 28, 2012

11. Advice to Fund - option in plan?

    By Erik Read, October 22, 2001
    • 3 replies
    • 2k views
    • 
    • Erik Read
    • October 23, 2001

12. Foreign investment in rental property

    By angelajee, December 21, 2015   

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

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

    By Laura Harrington, May 8, 2009
    • 3 replies
    • 2.6k views
    • 
    • Guest
    • July 7, 2009

14. QDIAs

    By Guest JMN, May 24, 2012
    • 3 replies
    • 1.4k views
    • 
    • Guest
    • May 28, 2012

15. Insurance

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

16. SEC registration and sub T/A fees

    By Guest xplan, May 3, 2001
    • 3 replies
    • 4.4k views
    • 
    • Guest
    • May 16, 2001

17. Participant Receiving Commissions

    By Guest KMP, October 9, 2007
    • 3 replies
    • 1.6k views
    • 
    • Peter Gulia
    • October 9, 2007

18. Group Annuity Contracts

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

19. Prohibited Transaction-son of trustee as investment advisor on 401(k) plan

    By Diane Thompson, November 10, 2022
    • 2 replies
    • 1.1k views
    • 
    • Diane Thompson
    • November 11, 2022

20. Bank Participation Loans

    By susieQ, December 7, 2021
    • 2 replies
    • 675 views
    • 
    • susieQ
    • December 10, 2021

21. discriminatory to remove access to an investment?

    By AlbanyConsultant, May 21, 2019
    • 2 replies
    • 930 views
    • 
    • MICHAEL HATLEE
    • February 25, 2021

22. Self-Directed Brokerage Accounts

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

23. Daily Val Acct Admin Salary

    By Guest SalHelp, August 5, 2002
    • 2 replies
    • 2.3k views
    • 
    • Guest
    • August 10, 2002

24. Recordkeeping systems and short term redemption fees

    By Demosthenes, June 22, 2004
    • 2 replies
    • 2.9k views
    • 
    • TBob
    • July 13, 2004

25. Investment in a restaurant

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

26. owner wants to buy company stock using rollover money

    By Guest EPS2, September 9, 2008
    • 2 replies
    • 1.6k views
    • 
    • david rigby
    • September 10, 2008

27. Committee on Homeland Security and Governmental Affairs comment on DOL Fiduciary Rule

    By Bird, February 26, 2016
    • 2 replies
    • 782 views
    • 
    • GMK
    • February 26, 2016

28. Leverage with options and UBTI

    By lookatmytaxes, December 13, 2021
    • 2 replies
    • 1.1k views
    • 
    • Luke Bailey
    • December 26, 2021

29. Investment in Real Estate

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

30. Plan investments

    By Guest jim williams, November 15, 2001
    • 2 replies
    • 1.8k views
    • 
    • Guest
    • November 16, 2001

31. HOA ownership

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

32. Daily Recordkeeper Search

    By Jean, February 9, 2000
    • 2 replies
    • 2.1k views
    • 
    • bzorc
    • February 10, 2000

33. Mortgage to Participant

    By cathyw, February 12, 2014
    • 2 replies
    • 1.6k views
    • 
    • cathyw
    • February 12, 2014

34. Particpant Direction not followed

    By mgcpension, February 10, 2012
    • 2 replies
    • 1.8k views
    • 
    • MICHAEL HATLEE
    • February 25, 2021

35. Trade Authorization

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

36. Misuse of Confidential Financial Information

    By Guest Smokin, August 10, 2011
    • 2 replies
    • 2.9k views
    • 
    • Guest
    • August 10, 2011

37. Individual Directed Accounts

    By Guest Alison Hetrick, July 1, 2000
    • 2 replies
    • 2.1k views
    • 
    • Guest
    • July 6, 2000

38. Benefits, Rights & Features in SDBAs Revisited

    By Guest Grumpy456, November 17, 2015
    • 2 replies
    • 919 views
    • 
    • Lou S.
    • November 17, 2015

39. 404(c) and investment alternatives

    By Guest caddieadmin, March 23, 2007
    • 2 replies
    • 1.9k views
    • 
    • Guest
    • March 24, 2007

40. 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

41. Loans as Pooled Investments

    By Dougsbpc, December 26, 2002
    • 2 replies
    • 2.1k views
    • 
    • Dougsbpc
    • December 27, 2002

42. In Plan Roth 401(k) Conversion

    By RestAssured, September 11, 2018
    • 2 replies
    • 1.3k views
    • 
    • RestAssured
    • September 11, 2018

43. Self-directed investment option (wide open)

    By PJ2009, September 15, 2009
    • 2 replies
    • 1.4k views
    • 
    • mbozek
    • September 15, 2009

44. Plan Investments

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

45. Employer Stock in Profit Sharing Plan

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

46. Plan fees charged to participants

    By Guest Iwonder, April 24, 2008
    • 2 replies
    • 1.3k views
    • 
    • JanetM
    • April 24, 2008

47. QDIA Notices

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

48. DB & DC combination

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

49. RIA Fees / Accrued Interest

    By austin3515, October 2, 2019
    • 2 replies
    • 1.6k views
    • 
    • Bird
    • October 3, 2019

50. Required disclosures when employer provides investment return information?

    By Guest beppie_stark, April 21, 2004
    • 2 replies
    • 1.3k views
    • 
    • Demosthenes
    • April 21, 2004