Investment Issues (Including Self-Directed)

560 topics in this forum

1. Dividends after plan termination

   By Guest lgm, October 12, 2005
   • 2 replies
   • 4.2k views
   • 
   • Guest
   • October 12, 2005

2. Bonding Requirements

   By Guest Max Power, January 26, 2004
   • 2 replies
   • 1.7k views
   • 
   • Guest
   • January 27, 2004

3. term life insurance in DC plan

   By AKconsult, April 28, 2009
   • 2 replies
   • 1.6k views
   • 
   • Belgarath
   • April 28, 2009

4. IRA Trustee for non-marketable assets

   By Guest Judy Miller, January 7, 2002
   • 2 replies
   • 2.5k views
   • 
   • mbozek
   • January 15, 2002

5. Administrator vs. Named Fiduciary under ERISA

   By Guest pension222, June 7, 2001
   • 2 replies
   • 6.6k views
   • 
   • Jon Chambers
   • June 11, 2001

6. Investment Policy Statement

   By Guest Kconsultant, May 2, 2003
   • 2 replies
   • 1.5k views
   • 
   • Jon Chambers
   • May 2, 2003

7. Do Rehires have to wait until the next entry date to enter the plan or do they enter the plan immediately?

   By Rai401k, April 22, 2004
   • 2 replies
   • 2.8k views
   • 
   • rcline46
   • April 22, 2004

8. Comments on Corbel's "Daily Professional"?

   By Guest, January 31, 2001
   • 2 replies
   • 2.2k views
   • 
   • Guest
   • February 8, 2001

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

   By katieinny, September 22, 2009
   • 2 replies
   • 1.5k views
   • 
   • J Simmons
   • September 22, 2009

10. Collective Investment Trust Investments

    By Guest cac1134, May 29, 2007
    • 2 replies
    • 3.3k views
    • 
    • Peter Gulia
    • June 8, 2007

11. Are "calls" permissible plan investments?

    By Guest schneiderdowns, January 28, 2004
    • 2 replies
    • 2.1k views
    • 
    • Kirk Maldonado
    • January 29, 2004

12. Fiduciary indemnification

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

13. Eligible Investment In Sdb Accounts? Options

    By Guest btooz, March 27, 2003
    • 2 replies
    • 2.5k views
    • 
    • Jon Chambers
    • April 10, 2003

14. Blue Sky Law

    By Guest deankr, May 23, 2006
    • 2 replies
    • 2.1k views
    • 
    • Guest
    • May 24, 2006

15. Prohibited transaction for a plan to purchase property from a trust fo

    By k man, February 22, 2001
    • 2 replies
    • 1.8k views
    • 
    • Bill Berke
    • March 7, 2001

16. Investment in Real Estate

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

17. Company Stock as Plan Investment

    By Dougsbpc, September 30, 2002
    • 2 replies
    • 1.5k views
    • 
    • Dougsbpc
    • October 1, 2002

18. Is this a prohibited transaction?

    By Guest Scrappy, July 8, 2005
    • 2 replies
    • 1.7k views
    • 
    • Ron Snyder
    • July 9, 2005

19. Individual Choice in Self-Directed Brokerage Programs

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

20. Use of financial advisors to manage investments under a self-directed

    By Guest asire2002, February 3, 2003
    • 2 replies
    • 1.4k views
    • 
    • KJohnson
    • February 4, 2003

21. real estate investment

    By Guest hershey, November 10, 2003
    • 2 replies
    • 1.7k views
    • 
    • KJohnson
    • November 11, 2003

22. TPA/Broker combo

    By Guest toddez, May 12, 2011
    • 2 replies
    • 1.6k views
    • 
    • Bird
    • May 16, 2011

23. 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

24. Target Date Funds proposed regulation

    By 52626, October 3, 2018
    • 2 replies
    • 757 views
    • 
    • 52626
    • October 4, 2018

25. Direct trades at fund company

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

26. Document retention/Electronic storage

    By k man, September 15, 2000
    • 2 replies
    • 2.5k views
    • 
    • Kirk Maldonado
    • September 15, 2000

27. Invest in Business

    By Randy Watson, April 9, 2008
    • 2 replies
    • 1.6k views
    • 
    • John Feldt ERPA CPC QPA
    • April 9, 2008

28. notification if past date in target date fund?

    By AlbanyConsultant, October 24, 2019
    • 2 replies
    • 1.1k views
    • 
    • Larry Starr
    • October 24, 2019

29. What is the proper Code Section indicating the PS/MP contributions mus

    By Guest TracyAndrews, April 9, 2001
    • 2 replies
    • 1.9k views
    • 
    • Guest
    • April 10, 2001

30. Prohibited Tx Question

    By Guest Retina, June 15, 2005
    • 2 replies
    • 1.6k views
    • 
    • Guest
    • June 17, 2005

31. 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
    • 2.3k views
    • 
    • Guest
    • July 18, 2005

32. reverse mortgage

    By Guest nipa, May 14, 2008
    • 1 reply
    • 2k views
    • 
    • masteff
    • May 14, 2008

33. DOL Proposed Regulation

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

34. nonprofit investment/plan doc options wanted

    By TPApril, February 7, 2012
    • 1 reply
    • 2k views
    • 
    • ETA Consulting LLC
    • February 7, 2012

35. Performance Disclosure Question

    By jreinhardt, February 25, 2016   

    • Models; Fees
    • 1 reply
    • 1k views
    • 
    • MICHAEL HATLEE
    • February 25, 2021

36. Am interested in techniques used by venture capital funds to shield ta

    By Guest Pat Parks, November 16, 2000
    • 1 reply
    • 1.8k views
    • 
    • Kirk Maldonado
    • November 16, 2000

37. Real estate- appraisal/ 5500 question

    By jmartin, May 28, 2015
    • 1 reply
    • 955 views
    • 
    • david rigby
    • May 28, 2015

38. Changes to Portfolios

    By Guest Karenm, September 12, 2007
    • 1 reply
    • 2k views
    • 
    • Guest
    • September 20, 2007

39. Participant-selected RIAs and fee deductions

    By AMDG, May 28, 2019   

    • ria
    • prohibited transaction
    • (and 3 more)

      Tagged with:

      • ria
      • prohibited transaction
      • party in interest
      • fee
      • deduction
    • 1 reply
    • 772 views
    • 
    • QP_Guy
    • May 29, 2019

40. Enhanced Appreciation Securities

    By Guest pjb, July 15, 2003
    • 1 reply
    • 1.3k views
    • 
    • Kirk Maldonado
    • July 16, 2003

41. Contribute stock?

    By David, December 9, 2000
    • 1 reply
    • 1.6k views
    • 
    • Jon Chambers
    • December 21, 2000

42. SEC Money Market Reform - FDIC-Insured Demand Products

    By Brian K, February 26, 2016   

    • money market
    • stable value
    • (and 2 more)

      Tagged with:

      • money market
      • stable value
      • demand deposit
      • FDIC
    • 1 reply
    • 980 views
    • 
    • Peter Gulia
    • February 27, 2016

43. Son as Fiduciary of Dad's IRA: Prohibited Transaction?

    By Guest reg_h2b, January 4, 2001
    • 1 reply
    • 2.2k views
    • 
    • Guest
    • April 26, 2001

44. Y2K Compliance

    By Guest P A Weick, April 14, 1999
    • 1 reply
    • 2.6k views
    • 
    • Guest
    • April 14, 1999

45. Enrollers handing out investment related information

    By k man, November 14, 2001
    • 1 reply
    • 1.6k views
    • 
    • Jon Chambers
    • November 16, 2001

46. Can the employer/plan sponsor pay the asset management charges and get

    By Guest William Lehman, May 5, 1999
    • 1 reply
    • 2.6k views
    • 
    • Guest
    • May 6, 1999

47. Property valuation requirements for one participant plan

    By kwalified, July 28, 2015
    • 1 reply
    • 994 views
    • 
    • mbozek
    • July 29, 2015

48. Discriminatory investment condition

    By Guest jim williams, August 16, 2006
    • 1 reply
    • 1.5k views
    • 
    • mming
    • August 18, 2006

49. 1st Golbal Valuation Program

    By Hoard1, June 8, 1999
    • 1 reply
    • 2.6k views
    • 
    • Guest
    • June 11, 1999

50. Omniplus Deconversion file record layouts

    By Guest Jose, June 23, 1999
    • 1 reply
    • 3.2k views
    • 
    • Guest
    • June 23, 1999