Investment Issues (Including Self-Directed)

560 topics in this forum

1. Company Stock as Plan Investment

   By Dougsbpc, September 30, 2002
   • 2 replies
   • 1.5k views
   • 
   • Dougsbpc
   • October 1, 2002

2. Investment Standards

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

3. participant dies, who is responsible for investments

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

4. Prohibited Transaction

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

5. Investment Policy Statement

   By Guest Kconsultant, May 2, 2003
   • 2 replies
   • 1.5k views
   • 
   • Jon Chambers
   • May 2, 2003

6. Trasnferring assets

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

7. Hedge Fund Offer Own Investments in its Employer-Sponsored Plan?

   By waid10, May 28, 2010
   • 2 replies
   • 1.5k views
   • 
   • Peter Gulia
   • May 29, 2010

8. Investment Advice Under 2550.408(g)-1

   By EPCRSGuru, August 13, 2012
   • 0 replies
   • 1.5k views
   • 
   • EPCRSGuru
   • August 13, 2012

9. Which mutual fund providers furnish prospectuses in Spanish?

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

10. Dividends on Matching Employer Securities Contributions

    By Guest LBarr, March 20, 2007
    • 0 replies
    • 1.5k views
    • 
    • Guest
    • March 20, 2007

11. Limit on Self-Directed Brokerage?

    By CJS07, April 29, 2009
    • 1 reply
    • 1.5k views
    • 
    • WDIK
    • April 29, 2009

12. Not a Party-In-Interest?

    By mming, September 25, 2006
    • 1 reply
    • 1.4k views
    • 
    • Belgarath
    • September 26, 2006

13. Possible bankruptcy of provider?

    By mariemonroe, August 29, 2008
    • 6 replies
    • 1.4k views
    • 
    • GBurns
    • September 2, 2008

14. is this a prohibited transaction

    By Guest kh1, April 8, 2011
    • 3 replies
    • 1.4k views
    • 
    • Guest
    • April 10, 2011

15. Reporting rates of return to plan participants

    By Guest Jeanie, September 24, 2002
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • September 24, 2002

16. Investment in insurance on spouse

    By MPLSLAW, May 3, 2006
    • 0 replies
    • 1.4k views
    • 
    • MPLSLAW
    • May 3, 2006

17. Prohibited Transaction Exemption

    By imchipbrown, October 5, 2011
    • 4 replies
    • 1.4k views
    • 
    • Guest
    • October 9, 2011

18. Self-directed investment option (wide open)

    By PJ2009, September 15, 2009
    • 2 replies
    • 1.4k views
    • 
    • mbozek
    • September 15, 2009

19. Minimum Investment Fee

    By Buckoosier, August 12, 2015
    • 5 replies
    • 1.4k views
    • 
    • John Feldt ERPA CPC QPA
    • August 19, 2015

20. group annuity products and schedule of assets held for investment

    By Guest jbrianhill, July 11, 2002
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • July 11, 2002

21. VCOCs

    By Guest 91smithie, June 13, 2003
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • June 13, 2003

22. Company hires outside investment advisor.

    By katieinny, April 25, 2006
    • 0 replies
    • 1.4k views
    • 
    • katieinny
    • April 25, 2006

23. Are Separately Managed Accounts allowed?

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

24. Self-Directed, sort of

    By gregburst, August 7, 2012
    • 3 replies
    • 1.4k views
    • 
    • Doghouse
    • August 8, 2012

25. Which retirement plans are affected by undoing the investment-advice fiduciary rule?

    By Peter Gulia, March 27, 2018   

    • fiduciary
    • 6 replies
    • 1.4k views
    • 
    • Peter Gulia
    • March 29, 2018

26. Alternative investment valuation

    By Bird, February 4, 2013
    • 1 reply
    • 1.4k views
    • 
    • mbozek
    • February 19, 2013

27. Using plan assets to purchase business

    By Monica Barnard, June 24, 2009
    • 3 replies
    • 1.4k views
    • 
    • Monica Barnard
    • June 24, 2009

28. More liability for removing than "freezing" a poor-performing fund?

    By ERISAatty, November 15, 2011
    • 3 replies
    • 1.4k views
    • 
    • QDROphile
    • November 15, 2011

29. upcoming guidance from DOL re: fees?

    By Guest erisamelissa, August 3, 2006
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • August 3, 2006

30. Prohibited Transaction, yea or nay?

    By Doghouse, February 11, 2013
    • 3 replies
    • 1.4k views
    • 
    • Mike Preston
    • February 13, 2013

31. Bitcoins

    By Monica Barnard, May 22, 2017
    • 3 replies
    • 1.4k views
    • 
    • CuseFan
    • May 23, 2017

32. Employer stock in 401(k) Plan

    By Tegernsee, March 20, 2024
    • 5 replies
    • 1.4k views
    • 
    • rocknrolls2
    • March 21, 2024

33. Self-Directed Brokerage Accounts

    By Guest MikeAIGFA, March 2, 2009
    • 2 replies
    • 1.4k views
    • 
    • J Simmons
    • March 2, 2009

34. Settlement proceeds

    By Bird, August 25, 2009
    • 1 reply
    • 1.4k views
    • 
    • Peter Gulia
    • August 25, 2009

35. prohibited transaction exemption??

    By Guest bth1, December 3, 2002
    • 0 replies
    • 1.4k views
    • 
    • Guest
    • December 3, 2002

36. QDIAs

    By Guest JMN, May 24, 2012
    • 3 replies
    • 1.4k views
    • 
    • Guest
    • May 28, 2012

37. Participant litigation v trustees regarding investments?

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

38. Using plan assets to form LLC to buy Real Estate

    By jmrsai, June 1, 2015
    • 5 replies
    • 1.4k views
    • 
    • K2retire
    • June 2, 2015

39. Would anyone dislike a zero-expense investment fund?

    By Peter Gulia, June 6
    • 6 replies
    • 1.4k views
    • 
    • Peter Gulia
    • June 11

40. How do you invest a retirement plan that does not provide participant-directed investment?

    By Peter Gulia, November 30, 2020   

    • investment policy
    • 13 replies
    • 1.4k views
    • 
    • Bird
    • January 27, 2021

41. Private Securities as a Plan Asset

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

42. Use of financial advisors to manage investments under a self-directed

    By Guest asire2002, February 3, 2003
    • 2 replies
    • 1.4k views
    • 
    • KJohnson
    • February 4, 2003

43. Audits for Investment Advisers under PPA

    By Guest djw, August 26, 2008
    • 1 reply
    • 1.4k views
    • 
    • ERISAnut
    • August 27, 2008

44. 404(c)

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

45. Self Directed brokerage

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

46. Self-directed conversion (plan to IRA)

    By TPApril, June 18, 2022
    • 9 replies
    • 1.4k views
    • 
    • Bill Presson
    • June 24, 2022

47. Recovering withheld earnings

    By Bird, September 28, 2012
    • 3 replies
    • 1.4k views
    • 
    • Bird
    • September 28, 2012

48. Distribution and stock market issue

    By Monica Barnard, December 19, 2008
    • 4 replies
    • 1.4k views
    • 
    • Monica Barnard
    • December 22, 2008

49. Earnings on Forfeitures

    By Guest m.n.ouellette, January 5, 2009
    • 4 replies
    • 1.4k views
    • 
    • Guest
    • January 6, 2009

50. DOL Proposed Regulation

    By PLAN MAN, February 26, 2010
    • 1 reply
    • 1.3k views
    • 
    • david rigby
    • February 26, 2010