Investment Issues (Including Self-Directed)

514 topics in this forum

1. notification if past date in target date fund?

   By AlbanyConsultant, October 24
   • 2 replies
   • 297 views
   • 
   • Larry Starr
   • October 24

2. Notification re: brokerage accounts

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

3. RIA Fees / Accrued Interest

   By austin3515, October 2
   • 2 replies
   • 90 views
   • 
   • Bird
   • October 3

4. participant dies, who is responsible for investments

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

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

   By AlbanyConsultant, September 3
   • 6 replies
   • 315 views
   • 
   • ugueth
   • September 5

6. Participant-selected RIAs and fee deductions

   By AMDG, May 28   

   • ria
   • prohibited transaction
   • (and 3 more)

     Tagged with:

     • ria
     • prohibited transaction
     • party in interest
     • fee
     • deduction
   • 1 reply
   • 220 views
   • 
   • QP_Guy
   • May 29

7. discriminatory to remove access to an investment?

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

8. legacy variable annuity 401(k)

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

9. 231b captive insurance with life insurance inside

   By lie, February 11   

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

     Tagged with:

     • captive insurance
     • life insurance
     • lawsuite
   • 3 replies
   • 251 views
   • 
   • lie
   • February 14

10. Purchase house in 401(k)

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

11. Sale of a portion of farm land

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

12. State Taxation of Trust with UBIT

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

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

    By Peter Gulia, October 15, 2018   

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

14. Target Date Funds proposed regulation

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

15. In Plan Roth 401(k) Conversion

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

16. Prohibited Transaction

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

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

    By Peter Gulia, March 27, 2018   

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

18. 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
    • 530 views
    • 
    • Pam Shoup
    • March 2, 2018

19. 3(21) and 3(38) fiduciary services

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

20. Self-directed conversions

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

21. Model portfolio rates of return

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

22. Cost estimate on proposed legislation to undo the Labor department's investment-advice fiduciary rule

    By Peter Gulia, September 19, 2017   

    • fiduciary; investment; advice; prohibited transaction;
    • 4 replies
    • 461 views
    • 
    • Peter Gulia
    • September 20, 2017

23. Has anyone seen a lawsuit about prudent selection of investment funds unrelated to expenses or self-dealing?

    By Peter Gulia, August 29, 2017   

    • erisa; prudence; investment alternative
    • 21 replies
    • 909 views
    • 
    • MoJo
    • September 12, 2017

24. new American Funds pricing for RKD

    By Bird, August 16, 2017
    • 18 replies
    • 911 views
    • 
    • austin3515
    • August 23, 2017

25. Particpant Direction not followed

    By mgcpension, February 10, 2012
    • 1 reply
    • 1,246 views
    • 
    • kl211
    • July 17, 2017