Investment Issues (Including Self-Directed)

560 topics in this forum

1. Mobious Recordkeeping

   By Guest divadaily401k, June 24, 2002
   • 0 replies
   • 1.9k views
   • 
   • Guest
   • June 24, 2002

2. Model investment management agreement checklist?

   By Guest rissa-7477, November 19, 2008
   • 0 replies
   • 1.7k views
   • 
   • Guest
   • November 19, 2008

3. Model portfolio rates of return

   By austin3515, October 18, 2017
   • 0 replies
   • 766 views
   • 
   • austin3515
   • October 18, 2017

4. Money Market and Recordkeepers

   By SRP, November 13, 2008
   • 0 replies
   • 1.3k views
   • 
   • SRP
   • November 13, 2008

5. Moody's warns on money market mutual funds

   By masteff, July 26, 2011
   • 5 replies
   • 1.6k views
   • 
   • GMK
   • July 27, 2011

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

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

7. Mortgage to Participant

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

8. Nationwide litigation

   By Guest pearrich, December 20, 2001
   • 0 replies
   • 1.8k views
   • 
   • Guest
   • December 20, 2001

9. Need Copy of Compliance Manual and Policy and Procedure Manual

   By Guest thom4j, July 4, 2004
   • 1 reply
   • 2.8k views
   • 
   • GBurns
   • July 5, 2004

10. new American Funds pricing for RKD

    By Bird, August 16, 2017
    • 18 replies
    • 1.8k views
    • 
    • austin3515
    • August 23, 2017

11. New article online: How Money Managers Hide Illegalities From Investor

    By Dave Baker, August 1, 2000
    • 0 replies
    • 1.7k views
    • 
    • Dave Baker
    • August 1, 2000

12. New Disclosure Requirements

    By Dougsbpc, January 13, 2011
    • 1 reply
    • 1.3k views
    • 
    • Bird
    • January 14, 2011

13. no adviser wanted

    By gregburst, August 30, 2012
    • 13 replies
    • 2.2k views
    • 
    • david rigby
    • September 4, 2012

14. Non-discrimination testing

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

15. non-owner participant wants to purchase real estate

    By TPAnnie, August 27, 2008
    • 9 replies
    • 2.4k views
    • 
    • Peter Gulia
    • August 28, 2008

16. nonprofit investment/plan doc options wanted

    By TPApril, February 7, 2012
    • 1 reply
    • 1.9k views
    • 
    • ETA Consulting LLC
    • February 7, 2012

17. Nonqualifying asset bond

    By Guest Pensions in Paradise, September 19, 2003
    • 0 replies
    • 2.5k views
    • 
    • Guest
    • September 19, 2003

18. Nonqualifying Assets in 401(k)

    By Guest metallic, October 20, 2011
    • 5 replies
    • 3.4k views
    • 
    • Peter Gulia
    • October 22, 2011

19. Not a Party-In-Interest?

    By mming, September 25, 2006
    • 1 reply
    • 1.4k views
    • 
    • Belgarath
    • September 26, 2006

20. notification if past date in target date fund?

    By AlbanyConsultant, October 24, 2019
    • 2 replies
    • 1k views
    • 
    • Larry Starr
    • October 24, 2019

21. Notification re: brokerage accounts

    By TPApril, October 10, 2019
    • 7 replies
    • 1.5k views
    • 
    • Pam Shoup
    • October 11, 2019

22. NSCC link for Quantech

    By Guest Carol Ringwald, March 22, 1999
    • 0 replies
    • 2.3k views
    • 
    • Guest
    • March 22, 1999

23. NSCC Multi-fund platform

    By Guest Phil L, October 13, 1999
    • 7 replies
    • 3.3k views
    • 
    • Archimage
    • February 22, 2002

24. NSCC trading

    By Guest EricL, August 15, 2001
    • 1 reply
    • 2.4k views
    • 
    • Guest
    • August 20, 2001

25. 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

26. Offering Individual Brokerage Account... Is there a Notice?

    By K-t-F, May 2, 2017
    • 9 replies
    • 1.3k views
    • 
    • RatherBeGolfing
    • May 3, 2017

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

    By katieinny, May 24, 2006
    • 7 replies
    • 1.9k views
    • 
    • QDROphile
    • May 26, 2006

28. Offloading Worthless RELP?

    By Christine Roberts, March 11, 2004
    • 5 replies
    • 2k views
    • 
    • Christine Roberts
    • March 11, 2004

29. OFFSHORE INVESTMENTS

    By Guest arlene, April 20, 2005
    • 1 reply
    • 1.7k views
    • 
    • mbozek
    • April 20, 2005

30. Okay For Sponsor to Invest Plan Assets in Fund it Manages?

    By Guest YATPA, December 9, 2005
    • 1 reply
    • 1.9k views
    • 
    • Locust
    • December 9, 2005

31. Omniplus Deconversion file record layouts

    By Guest Jose, June 23, 1999
    • 1 reply
    • 3.1k views
    • 
    • Guest
    • June 23, 1999

32. On investment advice, how much is left for the SEC to regulate?

    By Peter Gulia, May 13, 2016   

    • investment advice; fiduciary
    • 6 replies
    • 1.3k views
    • 
    • My 2 cents
    • May 23, 2016

33. one time election to investment in property

    By SheilaD, October 18, 2012
    • 0 replies
    • 1.2k views
    • 
    • SheilaD
    • October 18, 2012

34. Onshore of Offshore Investment...

    By Basically, February 24, 2023
    • 1 reply
    • 892 views
    • 
    • DisplayName
    • February 27, 2023

35. Open Brokerage and 404(c)

    By Randy Watson, August 25, 2008
    • 9 replies
    • 3.8k views
    • 
    • J Simmons
    • February 14, 2009

36. over mortgaged property 1 man plan

    By SheilaD, November 1, 2011
    • 1 reply
    • 1.2k views
    • 
    • SheilaD
    • November 2, 2011

37. Owner Only Plan wants to by Life Insurance from Spouse

    By commishvp, September 16, 2011
    • 0 replies
    • 895 views
    • 
    • commishvp
    • September 16, 2011

38. 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

39. Owner-only PS Plan

    By SMB, August 26, 2011
    • 4 replies
    • 1.8k views
    • 
    • mbozek
    • August 29, 2011

40. participant dies, who is responsible for investments

    By DMcGovern, September 13, 2019
    • 6 replies
    • 1.5k views
    • 
    • Luke Bailey
    • September 16, 2019

41. Participant Directed?

    By Guest jmlumpkin, March 18, 2004
    • 9 replies
    • 2.2k views
    • 
    • Guest
    • March 30, 2004

42. Participant Directing Plan to Purchase Annuity

    By chris, March 31, 2003
    • 0 replies
    • 2.2k views
    • 
    • chris
    • March 31, 2003

43. Participant litigation v trustees regarding investments?

    By Guest mikeymo, June 3, 2004
    • 4 replies
    • 1.4k views
    • 
    • Jon Chambers
    • June 5, 2004

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

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

45. Participant Receiving Commissions

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

46. 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
    • 739 views
    • 
    • QP_Guy
    • May 29, 2019

47. Participant's son as broker

    By SMB, September 8, 2008
    • 6 replies
    • 1.5k views
    • 
    • K2retire
    • September 10, 2008

48. participants investing in company projects

    By maverick, August 26, 2007
    • 4 replies
    • 2.6k views
    • 
    • J Simmons
    • August 27, 2007

49. Particpant Direction not followed

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

50. Partnership profit sharing plan: Do partners & employees have to

    By Moe Howard, February 11, 2002
    • 8 replies
    • 5.1k views
    • 
    • mbozek
    • March 9, 2002