Investment Issues (Including Self-Directed)

560 topics in this forum

1. A Question about Life Insurance in a Qualified Plan

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

2. Statute on APRSC for correction on ineligibility

   By Guest Kim Brooks, October 25, 2000
   • 0 replies
   • 1.6k views
   • 
   • Guest
   • October 25, 2000

3. 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

4. Can he take Real Estate as an In-Kind Distribution

   By imchipbrown, October 26, 2011
   • 1 reply
   • 1.6k views
   • 
   • Guest
   • October 26, 2011

5. Investment in a restaurant

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

6. Prohibited Transaction?

   By Guest Iwonder, October 22, 2010
   • 3 replies
   • 1.6k views
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   • MSN
   • October 25, 2010

7. 404(c) Fee Disclosure

   By Randy Watson, October 30, 2007
   • 0 replies
   • 1.6k views
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   • Randy Watson
   • October 30, 2007

8. Stock option in qualified plan

   By Guest Deflector, June 6, 2014
   • 3 replies
   • 1.6k views
   • 
   • RayJJohnsonJr
   • July 15, 2014

9. Bankrupt Fund in the Plan

   By Santo Gold, November 15, 2006
   • 0 replies
   • 1.6k views
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   • Santo Gold
   • November 15, 2006

10. Policy for fiduciary review/holding mortgages in plans/IRAs?

    By Guest Toner, Stephen, July 27, 2000
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • July 27, 2000

11. I know this is a bad idea - need help explaining why

    By Gudgergirl, January 28, 2010
    • 4 replies
    • 1.6k views
    • 
    • Guest
    • February 16, 2010

12. QDIA

    By Guest Thomas2006, November 26, 2007
    • 1 reply
    • 1.6k views
    • 
    • John Feldt ERPA CPC QPA
    • November 27, 2007

13. Potential Party In Interest

    By Below Ground, April 8, 2009
    • 1 reply
    • 1.6k views
    • 
    • Below Ground
    • April 9, 2009

14. RIA Fees / Accrued Interest

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

15. term life insurance in DC plan

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

16. Mortgage to Participant

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

17. Self directed brokerage fund, trust reporting requirements.

    By Guest Factster, January 31, 2002
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • January 31, 2002

18. Tracking stock in employee benefit plans

    By Guest smithee, May 7, 2001
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • May 7, 2001

19. Enrollers handing out investment related information

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

20. Prohibited Transaction?

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

21. Terminating a PS plan that holds a Town House

    By katieinny, April 8, 2015   

    • ER doesnt want to sell
    • 4 replies
    • 1.6k views
    • 
    • katieinny
    • April 9, 2015

22. Insurance in profit sharing plan

    By Guest tbyrd, August 20, 2003
    • 1 reply
    • 1.6k views
    • 
    • Guest
    • August 21, 2003

23. Confidentiality Procedures

    By Guest asire2002, May 22, 2003
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • May 22, 2003

24. 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

25. Assigning Responsibility for Investment Error (a poll; please provide

    By Guest ASIRE, January 22, 2002
    • 0 replies
    • 1.6k views
    • 
    • Guest
    • January 22, 2002

26. Moody's warns on money market mutual funds

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

27. Investing in a UK based company

    By K-t-F, September 13, 2022
    • 4 replies
    • 1.6k views
    • 
    • Guy on a Limb
    • November 29, 2022

28. Expansion of Real Estate Investments under a 401(k) Plan

    By Below Ground, October 31, 2024
    • 5 replies
    • 1.6k views
    • 
    • Peter Gulia
    • November 5, 2024

29. Prohibited transaction re: Trustee of mutual fund

    By Bill Presson, June 19, 2013
    • 3 replies
    • 1.6k views
    • 
    • Bill Presson
    • June 20, 2013

30. TPA/Broker combo

    By Guest toddez, May 12, 2011
    • 2 replies
    • 1.5k views
    • 
    • Bird
    • May 16, 2011

31. Rental real estate in plan

    By ombskid, September 22, 2008
    • 1 reply
    • 1.5k views
    • 
    • J Simmons
    • September 22, 2008

32. Notification re: brokerage accounts

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

33. Loans - Individual or General Investment

    By kocak, April 26, 2001
    • 0 replies
    • 1.5k views
    • 
    • kocak
    • April 26, 2001

34. broker fraud

    By pgold, March 25, 2009
    • 5 replies
    • 1.5k views
    • 
    • pgold
    • March 26, 2009

35. Invest in Business

    By Randy Watson, April 9, 2008
    • 2 replies
    • 1.5k views
    • 
    • John Feldt ERPA CPC QPA
    • April 9, 2008

36. Foreign investments

    By Medusa, May 12, 2008
    • 5 replies
    • 1.5k views
    • 
    • Medusa
    • May 13, 2008

37. Trustee & owner places assets with its customer

    By Beltane, December 14, 2007
    • 3 replies
    • 1.5k views
    • 
    • Peter Gulia
    • December 17, 2007

38. Terminating a plan with a farm as an asset?

    By Lori H, June 4, 2014
    • 7 replies
    • 1.5k views
    • 
    • My 2 cents
    • June 6, 2014

39. Prohibited transaction to hire a financial advice provider that is par

    By Guest And another thing ..., February 27, 2002
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • February 27, 2002

40. Fiduciary Consequences of Paying Withdrawal or Exit Fees

    By Christine Roberts, November 27, 2002
    • 4 replies
    • 1.5k views
    • 
    • KJohnson
    • November 27, 2002

41. Group Annuity Contracts

    By BTG, March 13, 2012
    • 2 replies
    • 1.5k views
    • 
    • mbozek
    • March 13, 2012

42. QDIA - Fund Merger or Liquidation

    By Guest Astro, March 24, 2008
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • March 24, 2008

43. Participant's son as broker

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

44. Discriminatory investment condition

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

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. Is calling a stable-value account a “fund” misleading?

    By Peter Gulia, October 15, 2018   

    • communications; stable-value
    • 19 replies
    • 1.5k views
    • 
    • MoJo
    • October 17, 2018

47. Buying on Margin

    By Guest esi-jht, August 31, 2006
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • August 31, 2006

48. HOA ownership

    By Monica Barnard, August 22, 2016
    • 2 replies
    • 1.5k views
    • 
    • QDROphile
    • August 23, 2016

49. Investment in Real Estate

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

50. 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