Investment Issues (Including Self-Directed)

560 topics in this forum

1. Heads or tails?

   By SMB, March 8, 2010
   • 4 replies
   • 1.8k views
   • 
   • Guest
   • March 10, 2010

2. Use of proprietary mutual funds by financial institutions and mutual f

   By Guest Ann West, May 18, 2001
   • 1 reply
   • 1.8k views
   • 
   • Jon Chambers
   • May 18, 2001

3. Party-in-interest

   By Guest KimAnn, December 17, 2001
   • 6 replies
   • 1.8k views
   • 
   • KJohnson
   • December 18, 2001

4. Will anyone use the new exemption?

   By Peter Gulia, November 17, 2011
   • 3 replies
   • 1.8k views
   • 
   • Guest
   • November 18, 2011

5. Profit Sharing Plan - Domestic vs. Foreign Trust

   By Guest Peter Riggins, April 2, 2002
   • 1 reply
   • 1.8k views
   • 
   • mbozek
   • April 2, 2002

6. Purchasing employer securities from a 401k plan

   By gregburst, June 10, 2010
   • 1 reply
   • 1.8k views
   • 
   • QDROphile
   • June 10, 2010

7. Madoff investment as a prohibited transaction?

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

8. ALL Index Funds in a 401(k)?

   By Guest AmyHarle, June 25, 2008
   • 6 replies
   • 1.8k views
   • 
   • 401 Chaos
   • June 26, 2008

9. Nationwide litigation

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

10. Particpant Direction not followed

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

11. Private Placement Investments

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

12. Simple ERISA 404(b) Question

    By Guest cphcs, March 26, 2009
    • 3 replies
    • 1.8k views
    • 
    • QDROphile
    • March 26, 2009

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

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

14. Change in Investment Options

    By benpat3, July 13, 2009
    • 0 replies
    • 1.8k views
    • 
    • benpat3
    • July 13, 2009

15. OFFSHORE INVESTMENTS

    By Guest arlene, April 20, 2005
    • 1 reply
    • 1.8k views
    • 
    • mbozek
    • April 20, 2005

16. Key Man life insurance in a DC plan; plan is owner and ER is beneficiary

    By katieinny, May 19, 2011
    • 3 replies
    • 1.8k views
    • 
    • Bird
    • May 20, 2011

17. Short Selling in IRA / Profit Sharing Plan

    By Guest tschotland, July 22, 2008
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • July 22, 2008

18. Trying to get rid of LLC in plan

    By AKconsult, August 5, 2010
    • 7 replies
    • 1.8k views
    • 
    • QDROphile
    • August 6, 2010

19. Sale of a portion of farm land

    By kwalified, December 18, 2018
    • 7 replies
    • 1.7k views
    • 
    • Bird
    • December 20, 2018

20. Bonding Requirements

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

21. Social Security Numbers on Distribution Checks and Quarterly Statement

    By Guest Mike2003, February 19, 2003
    • 0 replies
    • 1.7k views
    • 
    • Guest
    • February 19, 2003

22. 404(c)(5) QDIA Regs

    By Guest cac1134, August 22, 2007
    • 0 replies
    • 1.7k views
    • 
    • Guest
    • August 22, 2007

23. Fiduciary and prohibited transaction

    By Guest WantsToLearn, November 11, 2006
    • 1 reply
    • 1.7k views
    • 
    • QDROphile
    • November 11, 2006

24. Unrelated business taxable income

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

25. Investment and Administrative Services Agreement for UK Plan

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

26. Converting To Self-Directed Solo 401K

    By Guest cloud9, June 9, 2013
    • 3 replies
    • 1.7k views
    • 
    • K2retire
    • June 21, 2013

27. Investment Advice

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

28. Education or Advice

    By PLAN MAN, October 6, 2007
    • 5 replies
    • 1.7k views
    • 
    • Peter Gulia
    • October 9, 2007

29. Violation in submitting trade requests to Bank?

    By Guest crosseyetester, February 2, 2007
    • 1 reply
    • 1.7k views
    • 
    • Bill Presson
    • February 3, 2007

30. 1035 Viatical Whole Life Policy to Annuity?

    By buckyks, January 30, 2015
    • 0 replies
    • 1.7k views
    • 
    • buckyks
    • January 30, 2015

31. Employer Property as Investment in DC Plan

    By MarZDoates, November 20, 2001
    • 1 reply
    • 1.7k views
    • 
    • QDROphile
    • November 21, 2001

32. Alerus Retirement Plans

    By HarleyBabe, November 12, 2012
    • 1 reply
    • 1.7k views
    • 
    • GMK
    • November 12, 2012

33. 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

34. "Found" Assets

    By Rob P, December 4, 2009
    • 1 reply
    • 1.7k views
    • 
    • JanetM
    • December 5, 2009

35. 404(c) Plan

    By Guest Sieve, August 16, 2010
    • 1 reply
    • 1.7k views
    • 
    • Peter Gulia
    • August 16, 2010

36. Does broker dealer subsidiary holding the assets of a non-profit pare

    By Guest Lonnie Tomlin, December 19, 2000
    • 1 reply
    • 1.7k views
    • 
    • Jon Chambers
    • December 21, 2000

37. Model investment management agreement checklist?

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

38. PT for accounting firm to invest its plans assets through wholly-owned

    By Guest EMC, October 27, 2000
    • 3 replies
    • 1.7k views
    • 
    • Jon Chambers
    • December 21, 2000

39. Is this a prohibited transaction?

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

40. Removing Participant Direction of Investment

    By Oh so SIMPLE, June 8, 2012
    • 3 replies
    • 1.7k views
    • 
    • Bird
    • June 11, 2012

41. Insurance

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

42. May a plan restrict the brokerage window to those who hold the CFA designation?

    By Peter Gulia, July 9, 2011
    • 4 replies
    • 1.7k views
    • 
    • Peter Gulia
    • July 9, 2011

43. 100% of Plan Assets in Annuity Contract

    By chris, January 7, 2002
    • 1 reply
    • 1.7k views
    • 
    • mbozek
    • January 15, 2002

44. real estate investment

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

45. Participant Receiving Commissions

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

46. 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

47. Prohibited Tx Question

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

48. RIA Fees / Accrued Interest

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

49. Prohibited Transaction if Self-Directed Investment???

    By Christine Roberts, May 8, 2002
    • 0 replies
    • 1.6k views
    • 
    • Christine Roberts
    • May 8, 2002

50. Investment in a restaurant

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