Investment Issues (Including Self-Directed)

560 topics in this forum

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

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

2. Contribute stock?

   By David, December 9, 2000
   • 1 reply
   • 1.6k views
   • 
   • Jon Chambers
   • December 21, 2000

3. Directed Brokerage - Liability of trustee?

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

4. Brokerage Accounts not subject to 408(b)(2)?

   By Young Curmudgeon, June 20, 2012
   • 0 replies
   • 1.6k views
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   • Young Curmudgeon
   • June 20, 2012

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

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

6. 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
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   • Kirk Maldonado
   • December 12, 2000

7. Prohibited Transaction?

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

8. Statute on APRSC for correction on ineligibility

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

9. A Question about Life Insurance in a Qualified Plan

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

10. 404(c) Fee Disclosure

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

11. Stock option in qualified plan

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

12. 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

13. 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

14. Bankrupt Fund in the Plan

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

15. 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

16. term life insurance in DC plan

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

17. Potential Party In Interest

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

18. QDIA

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

19. Mortgage to Participant

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

20. Self directed brokerage fund, trust reporting requirements.

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

21. Enrollers handing out investment related information

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

22. Tracking stock in employee benefit plans

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

23. Prohibited Transaction?

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

24. Insurance in profit sharing plan

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

25. 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

26. 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

27. Notification re: brokerage accounts

    By TPApril, October 10, 2019
    • 7 replies
    • 1.6k views
    • 
    • Pam Shoup
    • October 11, 2019

28. Moody's warns on money market mutual funds

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

29. Confidentiality Procedures

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

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

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

31. Employer stock in 401(k) Plan

    By Tegernsee, March 20, 2024
    • 5 replies
    • 1.6k views
    • 
    • rocknrolls2
    • March 21, 2024

32. Prohibited transaction re: Trustee of mutual fund

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

33. TPA/Broker combo

    By Guest toddez, May 12, 2011
    • 2 replies
    • 1.6k views
    • 
    • Bird
    • May 16, 2011

34. Invest in Business

    By Randy Watson, April 9, 2008
    • 2 replies
    • 1.6k views
    • 
    • John Feldt ERPA CPC QPA
    • April 9, 2008

35. Rental real estate in plan

    By ombskid, September 22, 2008
    • 1 reply
    • 1.6k views
    • 
    • J Simmons
    • September 22, 2008

36. Loans - Individual or General Investment

    By kocak, April 26, 2001
    • 0 replies
    • 1.6k views
    • 
    • kocak
    • April 26, 2001

37. broker fraud

    By pgold, March 25, 2009
    • 5 replies
    • 1.6k views
    • 
    • pgold
    • March 26, 2009

38. Foreign investments

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

39. Trustee & owner places assets with its customer

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

40. 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

41. 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

42. Fiduciary Consequences of Paying Withdrawal or Exit Fees

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

43. 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

44. Group Annuity Contracts

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

45. Which mutual fund providers furnish prospectuses in Spanish?

    By Peter Gulia, September 20, 2021
    • 5 replies
    • 1.5k views
    • 
    • Peter Gulia
    • September 21, 2021

46. Participant's son as broker

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

47. HOA ownership

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

48. QDIA - Fund Merger or Liquidation

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

49. participant dies, who is responsible for investments

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

50. Discriminatory investment condition

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