Investment Issues (Including Self-Directed)

560 topics in this forum

1. Cash basis & contribution allocations

   By Guest Stacey L Miller, July 21, 1999
   • 1 reply
   • 2.4k views
   • 
   • Guest
   • August 1, 1999

2. Prohibited Transaction Class Exemption

   By Guest Pennysaver, March 19, 2012
   • 1 reply
   • 2.2k views
   • 
   • jpod
   • March 20, 2012

3. Calculating a contribution for a plan that is integrated with social s

   By Guest mam, December 15, 1999
   • 1 reply
   • 2.5k views
   • 
   • Guest
   • December 15, 1999

4. Insurance in 401k

   By Guest gwelsmore, April 19, 2012
   • 1 reply
   • 1.3k views
   • 
   • ETA Consulting LLC
   • April 20, 2012

5. Are forfeitures released and are earnings calculated when matching con

   By John A, March 10, 2000
   • 1 reply
   • 2.1k views
   • 
   • Guest
   • March 29, 2000

6. Trailing vs Rolling

   By Guest hitt24, April 24, 2003
   • 1 reply
   • 12.8k views
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   • four01kman
   • April 24, 2003

7. Downloading investment values

   By Guest Stacey L Miller, April 17, 2000
   • 1 reply
   • 2.1k views
   • 
   • Guest
   • April 18, 2000

8. $5,000 Cashout

   By Guest JWBrown, April 22, 2000
   • 1 reply
   • 2.4k views
   • 
   • Guest
   • May 9, 2000

9. 404(c) Plan

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

10. Circle Trust NSCC Link

    By Guest, March 16, 2000
    • 1 reply
    • 2k views
    • 
    • Guest
    • July 1, 2000

11. Investment and Administrative Services Agreement for UK Plan

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

12. PTE for director who would provide investment services?

    By Guest mbg76, December 7, 2006
    • 1 reply
    • 1.8k views
    • 
    • jpod
    • December 8, 2006

13. "Found" Assets

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

14. Qerp

    By Guest greggi39, December 23, 2002
    • 1 reply
    • 2k views
    • 
    • mbozek
    • December 28, 2002

15. ERSOP - does this work?

    By Guest JPCMPLS, December 30, 2003
    • 1 reply
    • 2.9k views
    • 
    • IRC401
    • January 5, 2004

16. Prohibited Transaction

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

17. Can a target benefit plan be participant-directed?

    By Spencer, June 10, 2002
    • 1 reply
    • 1.6k views
    • 
    • QDROphile
    • June 10, 2002

18. Investing with Margin

    By Guest tedmunice, June 11, 2012
    • 1 reply
    • 2.1k views
    • 
    • ESOP Guy
    • June 11, 2012

19. What to do with gains from trading errors

    By Guest GMedley, May 10, 2001
    • 1 reply
    • 3.7k views
    • 
    • Guest
    • May 13, 2001

20. Policy to prevent exchanges

    By Gadgetfreak, December 17, 2014
    • 1 reply
    • 1.3k views
    • 
    • QDROphile
    • December 17, 2014

21. Violation in submitting trade requests to Bank?

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

22. Plan sponsor desires to borrow money from the plan and wants the bank

    By Guest MA Smith, December 12, 2000
    • 1 reply
    • 1.6k views
    • 
    • Kirk Maldonado
    • December 12, 2000

23. Investment Loss Notice

    By Monica Barnard, January 8, 2010
    • 1 reply
    • 1.2k views
    • 
    • Bird
    • January 8, 2010

24. Annuities

    By Guest perplexedbypensions, June 20, 2008
    • 1 reply
    • 1.9k views
    • 
    • Ron Snyder
    • June 21, 2008

25. New Disclosure Requirements

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

26. Delayed Receipt in Trading

    By Guest pieomy, April 24, 2008
    • 1 reply
    • 1.3k views
    • 
    • Peter Gulia
    • April 24, 2008

27. 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

28. 1 man Plan Prohibited Transaction?

    By LangLangTPA, September 10, 2012
    • 1 reply
    • 1.3k views
    • 
    • RestAssured
    • January 30, 2013

29. Daily Valuation vs. Balance Forward

    By Guest Kimberly Flett, June 27, 2001
    • 1 reply
    • 3.6k views
    • 
    • Guest
    • July 6, 2001

30. Employer Property as Investment in DC Plan

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

31. Sponsor Lease from Partially Plan-Owned LLC

    By Christine Roberts, July 22, 2008
    • 1 reply
    • 1.3k views
    • 
    • Ron Snyder
    • July 22, 2008

32. Listing of QDIAs?

    By J Simmons, October 12, 2009
    • 1 reply
    • 1.9k views
    • 
    • MSN
    • October 12, 2009

33. Fiduciary and prohibited transaction

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

34. Any Issues with Offering ETFs now?

    By Briandfox, March 9, 2016
    • 1 reply
    • 1.2k views
    • 
    • MICHAEL HATLEE
    • February 25, 2021

35. Recordkeeping System-Daily

    By Guest 401KTPA, November 1, 2002
    • 1 reply
    • 2.2k views
    • 
    • Guest
    • November 1, 2002

36. Blackout Notice

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

37. Alreus Retirement Solutions

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

38. Prohibited Transaction?

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

39. QDIA and Target Date Funds

    By Guest lgm, January 29, 2008
    • 1 reply
    • 2k views
    • 
    • masteff
    • January 29, 2008

40. Plan Investment: A Race Horse

    By Randy Watson, August 2, 2012
    • 1 reply
    • 1.3k views
    • 
    • ETA Consulting LLC
    • August 3, 2012

41. 100% of Plan Assets in Annuity Contract

    By chris, January 7, 2002
    • 1 reply
    • 1.6k views
    • 
    • mbozek
    • January 15, 2002

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

    By Guest thill, October 21, 2007
    • 1 reply
    • 1.9k views
    • 
    • Guest
    • October 23, 2007

43. What is the best daily valuation system available?

    By Guest EMozley, September 8, 2000
    • 1 reply
    • 2.1k views
    • 
    • Guest
    • September 11, 2000

44. Daily 401(k) accounting and trading platforms

    By Guest RSF, September 25, 2002
    • 1 reply
    • 2.9k views
    • 
    • Guest
    • October 3, 2002

45. prohibited transaction interested party definitions with regard to the

    By Guest gsbusard, May 15, 2001
    • 1 reply
    • 1.5k views
    • 
    • Jon Chambers
    • May 17, 2001

46. 404(c)

    By Guest amfam2, August 11, 2003
    • 1 reply
    • 1.4k views
    • 
    • Guest
    • August 21, 2003

47. Allocating Dividends in Daily Plans

    By Guest wolfman, June 7, 2001
    • 1 reply
    • 2.4k views
    • 
    • bzorc
    • June 8, 2001

48. Self Directed brokerage

    By Guest Bradbury Arnold, October 15, 2008
    • 1 reply
    • 1.4k views
    • 
    • J Simmons
    • October 15, 2008

49. proprietary funds and 406(b)

    By Guest cac1134, December 27, 2007
    • 1 reply
    • 2.2k views
    • 
    • Peter Gulia
    • December 28, 2007

50. Self Directed --> Trustee Directed

    By RestAssured, April 11, 2013   

    • self directed
    • trustee directed
    • (and 2 more)

      Tagged with:

      • self directed
      • trustee directed
      • change
      • black out
    • 1 reply
    • 1.9k views
    • 
    • Jim Chad
    • April 11, 2013