Investment Issues (Including Self-Directed)

566 topics in this forum

1. Market Value Equalizer Payments

   By Randy Watson, November 6, 2007
   • 6 replies
   • 4.2k views
   • 
   • Bird
   • November 7, 2007

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

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

3. Investment advisor question (re: erisa bond)

   By Moe Howard, April 12, 2007
   • 5 replies
   • 3.9k views
   • 
   • QDROphile
   • November 1, 2007

4. 404(c) Fee Disclosure

   By Randy Watson, October 30, 2007
   • 0 replies
   • 1.7k views
   • 
   • Randy Watson
   • October 30, 2007

5. what responsibility does a 457 plan sponsor have in regards to investments

   By Guest thill, October 21, 2007
   • 1 reply
   • 2k views
   • 
   • Guest
   • October 23, 2007

6. Avoiding PS 58 Costs?

   By Lori H, October 17, 2007
   • 3 replies
   • 2.4k views
   • 
   • Bird
   • October 20, 2007

7. Finance your new Business through a 401(k)

   By Guest NeophiteTPA, February 16, 2007
   • 11 replies
   • 5.1k views
   • 
   • Guest
   • October 18, 2007

8. Participant Receiving Commissions

   By Guest KMP, October 9, 2007
   • 3 replies
   • 1.7k views
   • 
   • Peter Gulia
   • October 9, 2007

9. Education or Advice

   By PLAN MAN, October 6, 2007
   • 5 replies
   • 1.8k views
   • 
   • Peter Gulia
   • October 9, 2007

10. Changes to Portfolios

    By Guest Karenm, September 12, 2007
    • 1 reply
    • 2.1k views
    • 
    • Guest
    • September 20, 2007

11. participants investing in company projects

    By maverick, August 26, 2007
    • 4 replies
    • 2.7k views
    • 
    • J Simmons
    • August 27, 2007

12. 404(c)(5) QDIA Regs

    By Guest cac1134, August 22, 2007
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • August 22, 2007

13. Direct trades at fund company

    By MSN, July 3, 2007
    • 2 replies
    • 2.6k views
    • 
    • MSN
    • July 5, 2007

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

    By Dave Baker, March 8, 2007
    • 6 replies
    • 4k views
    • 
    • Guest
    • June 18, 2007

15. Collective Investment Trust Investments

    By Guest cac1134, May 29, 2007
    • 2 replies
    • 3.4k views
    • 
    • Peter Gulia
    • June 8, 2007

16. Can Participants Use IDA to Purchase Company Headquarters?

    By Übernerd, March 1, 2007
    • 6 replies
    • 2.7k views
    • 
    • Guest
    • May 30, 2007

17. Handling distribution checks - bonding or fiduciary issues?

    By Guest crosseyetester, February 2, 2007
    • 4 replies
    • 2.6k views
    • 
    • J Simmons
    • May 23, 2007

18. Guaranteed Annuity Contracts

    By Guest lerieleech, May 16, 2007
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • May 16, 2007

19. 401k Loans - Accrue Daily Interest

    By Guest Terry Trap, April 27, 2007
    • 1 reply
    • 3.9k views
    • 
    • J Simmons
    • May 13, 2007

20. Investment Manager under ERISA 3(38)

    By k man, May 4, 2007
    • 0 replies
    • 2.9k views
    • 
    • k man
    • May 4, 2007

21. Non-discrimination testing

    By Guest yvette2255, April 27, 2007
    • 0 replies
    • 3k views
    • 
    • Guest
    • April 27, 2007

22. 404(c) and investment alternatives

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

23. Dividends on Matching Employer Securities Contributions

    By Guest LBarr, March 20, 2007
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • March 20, 2007

24. Violation in submitting trade requests to Bank?

    By Guest crosseyetester, February 2, 2007
    • 1 reply
    • 1.8k views
    • 
    • Bill Presson
    • February 3, 2007

25. Violation in submitting trade requests to Bank

    By Guest crosseyetester, January 30, 2007
    • 0 replies
    • 2.1k views
    • 
    • Guest
    • January 30, 2007

26. Voting stock in retirement plan?

    By Guest synergy3000, December 29, 2006
    • 1 reply
    • 1.9k views
    • 
    • BeckyMiller
    • January 10, 2007

27. Bond?

    By Randy Watson, January 8, 2007
    • 3 replies
    • 2k views
    • 
    • QDROphile
    • January 9, 2007

28. Charging fees to terminees

    By k man, January 4, 2006
    • 10 replies
    • 7.4k views
    • 
    • BG5150
    • December 20, 2006

29. PTE for director who would provide investment services?

    By Guest mbg76, December 7, 2006
    • 1 reply
    • 1.9k views
    • 
    • jpod
    • December 8, 2006

30. Pooled Separate Accounts and ERISA

    By Guest curious jorge, February 16, 2005
    • 4 replies
    • 15k views
    • 
    • PLAN MAN
    • November 29, 2006

31. Bankrupt Fund in the Plan

    By Santo Gold, November 15, 2006
    • 0 replies
    • 1.6k views
    • 
    • Santo Gold
    • November 15, 2006

32. Fiduciary and prohibited transaction

    By Guest WantsToLearn, November 11, 2006
    • 1 reply
    • 1.8k views
    • 
    • QDROphile
    • November 11, 2006

33. Fee-based advisors

    By Bird, July 24, 2006
    • 12 replies
    • 3.9k views
    • 
    • Guest
    • November 11, 2006

34. Self-Direction Discrimination?

    By MarZDoates, December 2, 2005
    • 5 replies
    • 2.5k views
    • 
    • JanetM
    • November 8, 2006

35. Fiduciary indemnification

    By Guest jim williams, September 26, 2006
    • 2 replies
    • 2.8k views
    • 
    • QDROphile
    • October 17, 2006

36. Providing a prospectus as required under 404(c)

    By katieinny, October 3, 2006
    • 1 reply
    • 2.2k views
    • 
    • Jon Chambers
    • October 17, 2006

37. Investment in Real Estate

    By Brian Haynes, October 11, 2006
    • 2 replies
    • 2.3k views
    • 
    • Brian Haynes
    • October 12, 2006

38. Not a Party-In-Interest?

    By mming, September 25, 2006
    • 1 reply
    • 1.5k views
    • 
    • Belgarath
    • September 26, 2006

39. Prohibited Transaction?

    By Guest babs51, September 20, 2006
    • 1 reply
    • 1.6k views
    • 
    • jpod
    • September 21, 2006

40. PS plan investment

    By Guest babs51, September 7, 2006
    • 7 replies
    • 2.3k views
    • 
    • Bird
    • September 8, 2006

41. Buying on Margin

    By Guest esi-jht, August 31, 2006
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • August 31, 2006

42. Investments Allowed

    By Guest Sayles, August 22, 2006
    • 4 replies
    • 2.1k views
    • 
    • WDIK
    • August 25, 2006

43. Commingled Trust vs. Collective Investment Fund

    By Guest jeffmccoy, August 21, 2006
    • 0 replies
    • 3.6k views
    • 
    • Guest
    • August 21, 2006

44. Discriminatory investment condition

    By Guest jim williams, August 16, 2006
    • 1 reply
    • 1.6k views
    • 
    • mming
    • August 18, 2006

45. Real Estate in a DB Plan

    By eilano, August 15, 2006
    • 3 replies
    • 1.9k views
    • 
    • jpod
    • August 15, 2006

46. upcoming guidance from DOL re: fees?

    By Guest erisamelissa, August 3, 2006
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • August 3, 2006

47. Self-Dealing and/or Exclusive Benefit Question

    By Medusa, July 12, 2006
    • 11 replies
    • 5.3k views
    • 
    • Kirk Maldonado
    • July 17, 2006

48. Private Placement Investments

    By K-t-F, June 19, 2006
    • 0 replies
    • 1.8k views
    • 
    • K-t-F
    • June 19, 2006

49. Real Estate Valuation

    By Guest DTromb, May 31, 2006
    • 5 replies
    • 2.1k views
    • 
    • SoCalActuary
    • May 31, 2006

50. Officer makes an improper investment of his self directed account

    By katieinny, May 24, 2006
    • 7 replies
    • 2k views
    • 
    • QDROphile
    • May 26, 2006