Investment Issues (Including Self-Directed)

560 topics in this forum

1. Does your custodian provide fraud protection?

   By Erik Read, April 17, 2006
   • 0 replies
   • 1.3k views
   • 
   • Erik Read
   • April 17, 2006

2. 404(c) compliance

   By Guest breakwater, February 7, 2006
   • 5 replies
   • 2.9k views
   • 
   • Bird
   • February 8, 2006

3. Financial Advisor = Fiduciary?

   By Santo Gold, October 20, 2005
   • 24 replies
   • 7.9k views
   • 
   • Don Levit
   • January 25, 2006

4. Small Plan Master Trust

   By Guest LoloV, August 19, 2003
   • 7 replies
   • 8.2k views
   • 
   • Kirk Maldonado
   • December 12, 2005

5. 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

6. Allowable Investment?

   By K-t-F, November 23, 2005
   • 22 replies
   • 4.5k views
   • 
   • Kirk Maldonado
   • December 1, 2005

7. Revenue Sharing

   By Randy Watson, November 22, 2005
   • 4 replies
   • 2.4k views
   • 
   • david rigby
   • November 24, 2005

8. Trasnferring assets

   By Guest sharpie, November 15, 2005
   • 0 replies
   • 1.5k views
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   • Guest
   • November 15, 2005

9. Limited Partnership Setting Up Retirement Plan

   By Guest KBuehler, October 25, 2005
   • 0 replies
   • 2k views
   • 
   • Guest
   • October 25, 2005

10. unrestricted investment options

    By Guest jmlumpkin, October 12, 2005
    • 4 replies
    • 2.1k views
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    • mbozek
    • October 13, 2005

11. How much of the plan can be "debt"?

    By Leopurrd, August 25, 2005
    • 6 replies
    • 2.3k views
    • 
    • Locust
    • October 12, 2005

12. Dividends after plan termination

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

13. Real Estate under LLC as Investment in 401(k)/PSP

    By Guest YATPA, October 10, 2005
    • 4 replies
    • 2.5k views
    • 
    • Alf
    • October 11, 2005

14. Potential commissions if real estate in a plan is sold

    By Guest babs51, October 5, 2005
    • 5 replies
    • 2.1k views
    • 
    • david rigby
    • October 6, 2005

15. A Question about Life Insurance in a Qualified Plan

    By Guest facade, August 11, 2005
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • August 11, 2005

16. location of assets

    By k man, August 2, 2005
    • 8 replies
    • 3k views
    • 
    • mbozek
    • August 9, 2005

17. 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
    • 2.2k views
    • 
    • Guest
    • July 18, 2005

18. Is this a prohibited transaction?

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

19. Prohibited Tx Question

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

20. Fiduciary with insider information

    By Guest allisonperry, June 2, 2005
    • 7 replies
    • 2.3k views
    • 
    • Kirk Maldonado
    • June 10, 2005

21. OFFSHORE INVESTMENTS

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

22. Investment Standards

    By Randy Watson, April 11, 2005
    • 0 replies
    • 1.5k views
    • 
    • Randy Watson
    • April 11, 2005

23. Are Separately Managed Accounts allowed?

    By joel, March 21, 2005
    • 0 replies
    • 1.4k views
    • 
    • joel
    • March 21, 2005

24. Directed Brokerage - Liability of trustee?

    By k man, March 17, 2005
    • 0 replies
    • 1.6k views
    • 
    • k man
    • March 17, 2005

25. Private Securities as a Plan Asset

    By Guest xxiretirementservices, March 8, 2005
    • 1 reply
    • 1.4k views
    • 
    • QDROphile
    • March 8, 2005

26. Principal Financial Group

    By Guest trucks1, December 3, 2004
    • 5 replies
    • 3.9k views
    • 
    • stephen
    • December 7, 2004

27. Blackout Period

    By Guest ljh1969, November 30, 2004
    • 0 replies
    • 2.5k views
    • 
    • Guest
    • November 30, 2004

28. Alreus Retirement Solutions

    By Guest trucks1, November 11, 2004
    • 1 reply
    • 3.7k views
    • 
    • Guest
    • November 19, 2004

29. Blackout Notice

    By Guest chris4013, November 11, 2004
    • 1 reply
    • 2.9k views
    • 
    • E as in ERISA
    • November 11, 2004

30. Investment Advice v Education

    By rlb64, September 17, 2004
    • 12 replies
    • 3.1k views
    • 
    • mbozek
    • September 27, 2004

31. Asset Fee charges and Fiduciary Liability

    By Guest erisa15, September 22, 2004
    • 0 replies
    • 1.3k views
    • 
    • Guest
    • September 22, 2004

32. When is the prior custodian required to send the money to the new custodian?

    By Guest chris4013, September 13, 2004
    • 1 reply
    • 2.1k views
    • 
    • rlb64
    • September 16, 2004

33. Investment timeing

    By Guest dokc, July 21, 2004
    • 4 replies
    • 3.3k views
    • 
    • alanm
    • September 7, 2004

34. Prohibited Transaction

    By Archimage, September 2, 2004
    • 1 reply
    • 1.5k views
    • 
    • Lori Friedman
    • September 2, 2004

35. Recordkeeping systems and short term redemption fees

    By Demosthenes, June 22, 2004
    • 2 replies
    • 2.8k views
    • 
    • TBob
    • July 13, 2004

36. 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

37. Looking for companies who write daily valuation programs.

    By Guest nps, June 25, 2004
    • 5 replies
    • 2.3k views
    • 
    • Guest
    • June 29, 2004

38. Invest in the TPA?

    By K-t-F, June 14, 2004
    • 3 replies
    • 2.2k views
    • 
    • JanetM
    • June 21, 2004

39. Participant litigation v trustees regarding investments?

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

40. Private Placement Assets Valuation

    By K-t-F, May 27, 2004
    • 5 replies
    • 3.1k views
    • 
    • Earl
    • May 28, 2004

41. Purchasing a LLC interest.

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

42. 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
    • 2.7k views
    • 
    • rcline46
    • April 22, 2004

43. Required disclosures when employer provides investment return information?

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

44. Variable Annuity Disguised as 401(k)-Please Help

    By Guest IraSue, March 26, 2004
    • 11 replies
    • 3.7k views
    • 
    • mbozek
    • April 3, 2004

45. Investment Advice & Guidance for Plan Participants

    By Guest danc4639, April 1, 2004
    • 1 reply
    • 2k views
    • 
    • david rigby
    • April 2, 2004

46. Participant Directed?

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

47. Offloading Worthless RELP?

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

48. Vesting requirement for defined contribution plans - Excess Aggregate Contribution Refunds.

    By Guest Cliff Langwith, March 9, 2004
    • 0 replies
    • 2.7k views
    • 
    • Guest
    • March 9, 2004

49. Electronic Mutual Fund Prospectuses

    By Guest cxs, February 12, 2004
    • 4 replies
    • 3.5k views
    • 
    • E as in ERISA
    • February 16, 2004

50. Are "calls" permissible plan investments?

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