Investment Issues (Including Self-Directed)

518 topics in this forum

1. TPA partnering with a financial advisor

   By Santo Gold, January 28
   • 6 replies
   • 1,066 views
   • 
   • Larry Starr
   • February 13

2. How do retirement plans handle mutual funds’ proxies?

   By Peter Gulia, December 18, 2019   

   • proxy voting
   • 1 reply
   • 407 views
   • 
   • Peter Gulia
   • December 20, 2019

3. Escheatment and beneficiaries

   By bruce71, November 19, 2019
   • 0 replies
   • 329 views
   • 
   • bruce71
   • November 19, 2019

4. Loan and UBTI

   By cathyw, November 13, 2019
   • 6 replies
   • 289 views
   • 
   • Luke Bailey
   • November 15, 2019

5. notification if past date in target date fund?

   By AlbanyConsultant, October 24, 2019
   • 2 replies
   • 394 views
   • 
   • Larry Starr
   • October 24, 2019

6. Notification re: brokerage accounts

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

7. RIA Fees / Accrued Interest

   By austin3515, October 2, 2019
   • 2 replies
   • 155 views
   • 
   • Bird
   • October 3, 2019

8. participant dies, who is responsible for investments

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

9. asset with minimum - has to be discriminatory, right?

   By AlbanyConsultant, September 3, 2019
   • 6 replies
   • 376 views
   • 
   • ugueth
   • September 5, 2019

10. Participant-selected RIAs and fee deductions

    By AMDG, May 28, 2019   

    • ria
    • prohibited transaction
    • (and 3 more)

      Tagged with:

      • ria
      • prohibited transaction
      • party in interest
      • fee
      • deduction
    • 1 reply
    • 261 views
    • 
    • QP_Guy
    • May 29, 2019

11. discriminatory to remove access to an investment?

    By AlbanyConsultant, May 21, 2019
    • 1 reply
    • 235 views
    • 
    • Patricia Neal Jensen
    • May 22, 2019

12. legacy variable annuity 401(k)

    By Scuba 401, March 11, 2019
    • 3 replies
    • 592 views
    • 
    • FPGuy
    • March 13, 2019

13. 231b captive insurance with life insurance inside

    By lie, February 11, 2019   

    • captive insurance
    • life insurance
    • (and 1 more)

      Tagged with:

      • captive insurance
      • life insurance
      • lawsuite
    • 3 replies
    • 286 views
    • 
    • lie
    • February 14, 2019

14. Purchase house in 401(k)

    By Cheryl S, November 1, 2018
    • 11 replies
    • 828 views
    • 
    • Larry Starr
    • January 2, 2019

15. Sale of a portion of farm land

    By kwalified, December 18, 2018
    • 7 replies
    • 321 views
    • 
    • Bird
    • December 20, 2018

16. State Taxation of Trust with UBIT

    By JustMe, November 27, 2018
    • 5 replies
    • 347 views
    • 
    • JamesK
    • November 29, 2018

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

    By Peter Gulia, October 15, 2018   

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

18. Target Date Funds proposed regulation

    By 52626, October 3, 2018
    • 2 replies
    • 336 views
    • 
    • 52626
    • October 4, 2018

19. In Plan Roth 401(k) Conversion

    By RestAssured, September 11, 2018
    • 2 replies
    • 442 views
    • 
    • RestAssured
    • September 11, 2018

20. Prohibited Transaction

    By Scuba 401, August 15, 2018
    • 9 replies
    • 471 views
    • 
    • Larry Starr
    • August 20, 2018

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

    By Peter Gulia, March 27, 2018   

    • fiduciary
    • 6 replies
    • 878 views
    • 
    • Peter Gulia
    • March 29, 2018

22. What is the cut-off time to get a day's mutual fund prices?

    By Peter Gulia, February 27, 2018   

    • investment direction; mutual fund
    • 4 replies
    • 571 views
    • 
    • Pam Shoup
    • March 2, 2018

23. 3(21) and 3(38) fiduciary services

    By Bird, February 22, 2018
    • 18 replies
    • 691 views
    • 
    • MoJo
    • February 26, 2018

24. Self-directed conversions

    By Bird, November 21, 2017
    • 6 replies
    • 837 views
    • 
    • XTitan
    • November 22, 2017

25. Model portfolio rates of return

    By austin3515, October 18, 2017
    • 0 replies
    • 470 views
    • 
    • austin3515
    • October 18, 2017