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Investment Issues (Including Self-Directed)

538 topics in this forum

  1. Self-directed conversions

    By Bird,
    • 7 replies
    • 1.2k views

  2. Ineligible Assets - Audit Info

    By RestAssured,
    • 8 replies
    • 181 views

  3. Onshore of Offshore Investment...

    By Basically,
    • 1 reply
    • 308 views

  4. Investing in a UK based company

    By K-t-F,
    • 4 replies
    • 913 views

  5. Prohibited Transaction-son of trustee as investment advisor on 401(k) plan

    By Diane Thompson,
    • 2 replies
    • 360 views

  6. How many ERISA-governed plans have at least one participant’s account balance not fed to a recordkeeper’s system?

    By Peter Gulia,
    • 10 replies
    • 326 views

  7. Self-directed conversion (plan to IRA)

    By TPApril,
    • 9 replies
    • 432 views

  8. TPA partnering with a financial advisor

    By Santo Gold,
    • 7 replies
    • 2.4k views

  9. qdia for self directed

    By TPApril,
    • 11 replies
    • 577 views

  10. How do participants get managed-account documents?

    By Peter Gulia,
    • 0 replies
    • 125 views

  11. Private lending for home purchase on a large scale UBTI concer.

    By Owen Meany,   
    • 1 reply
    • 309 views

  12. I Bonds in a qualified plan

    By bvhea,
    • 5 replies
    • 405 views

  13. Leverage with options and UBTI

    By lookatmytaxes,
    • 2 replies
    • 269 views

  14. Bank Participation Loans

    By susieQ,
    • 2 replies
    • 240 views

  15. 3(21) and 3(38) fiduciary services

    By Bird,
    • 19 replies
    • 1.3k views

  16. Charging Advisor Fees to Accounts

    By BTG,
    • 5 replies
    • 509 views

  17. Which mutual fund providers furnish prospectuses in Spanish?

    By Peter Gulia,
    • 5 replies
    • 450 views

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

    By Miner88,   
    • 4 replies
    • 722 views

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

    By Susan L.,
    • 9 replies
    • 570 views

  20. Performance Disclosure Question

    By jreinhardt,   
    • 1 reply
    • 748 views

  21. Any Issues with Offering ETFs now?

    By Briandfox,
    • 1 reply
    • 875 views

  22. Particpant Direction not followed

    By mgcpension,
    • 2 replies
    • 1.5k views

  23. discriminatory to remove access to an investment?

    By AlbanyConsultant,
    • 2 replies
    • 584 views

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

    By Peter Gulia,   
    • 13 replies
    • 717 views

  25. ESG and Advisory Responsibilities

    By BruceM,
    • 0 replies
    • 530 views
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