Investment Issues (Including Self-Directed)

526 topics in this forum

1. Self-directed conversions

   By Bird, November 21, 2017
   • 7 replies
   • 1k views
   • 
   • MICHAEL HATLEE
   • February 25

2. Charging Advisor Fees to Accounts

   By BTG, September 22
   • 5 replies
   • 194 views
   • 
   • Peter Gulia
   • September 30

3. Which mutual fund providers furnish prospectuses in Spanish?

   By Peter Gulia, September 20
   • 5 replies
   • 110 views
   • 
   • Peter Gulia
   • September 21

4. Can an ERISA plan invest in a medical marijuana company?

   By Miner88, May 11   

   • marijuana
   • investment
   • (and 1 more)

     Tagged with:

     • marijuana
     • investment
     • erisa plan
   • 4 replies
   • 465 views
   • 
   • Miner88
   • May 13

5. Ignore deferred vested former employee accounts in allocating investment earnings and losses?

   By Susan L., February 24
   • 9 replies
   • 411 views
   • 
   • RatherBeGolfing
   • February 26

6. Performance Disclosure Question

   By jreinhardt, February 25, 2016   

   • Models; Fees
   • 1 reply
   • 638 views
   • 
   • MICHAEL HATLEE
   • February 25

7. Any Issues with Offering ETFs now?

   By Briandfox, March 9, 2016
   • 1 reply
   • 764 views
   • 
   • MICHAEL HATLEE
   • February 25

8. Particpant Direction not followed

   By mgcpension, February 10, 2012
   • 2 replies
   • 1.4k views
   • 
   • MICHAEL HATLEE
   • February 25

9. discriminatory to remove access to an investment?

   By AlbanyConsultant, May 21, 2019
   • 2 replies
   • 355 views
   • 
   • MICHAEL HATLEE
   • February 25

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

    By Peter Gulia, November 30, 2020   

    • investment policy
    • 13 replies
    • 598 views
    • 
    • Bird
    • January 27

11. ESG and Advisory Responsibilities

    By BruceM, September 14, 2020
    • 0 replies
    • 416 views
    • 
    • BruceM
    • September 14, 2020

12. Can a participant pay her adviser’s fees from her plan account?

    By Peter Gulia, July 7, 2020   

    • fees; investment advice
    • 11 replies
    • 891 views
    • 
    • Peter Gulia
    • July 8, 2020

13. Prohibited Transaction

    By JustMe, June 26, 2020
    • 1 reply
    • 262 views
    • 
    • JustMe
    • June 26, 2020

14. Missing Asset Value (Not Available)

    By NVS, June 23, 2020
    • 6 replies
    • 461 views
    • 
    • CuseFan
    • June 24, 2020

15. TPA partnering with a financial advisor

    By Santo Gold, January 28, 2020
    • 6 replies
    • 1.8k views
    • 
    • Larry Starr
    • February 13, 2020

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

    By Peter Gulia, December 18, 2019   

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

17. Escheatment and beneficiaries

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

18. Loan and UBTI

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

19. notification if past date in target date fund?

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

20. Notification re: brokerage accounts

    By TPApril, October 10, 2019
    • 7 replies
    • 1.1k views
    • 
    • Pam Shoup
    • October 11, 2019

21. RIA Fees / Accrued Interest

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

22. participant dies, who is responsible for investments

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

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

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

24. 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
    • 358 views
    • 
    • QP_Guy
    • May 29, 2019

25. legacy variable annuity 401(k)

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