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Investment Issues (Including Self-Directed)

537 topics in this forum

  1. Self-directed conversions

    By Bird,
    • 7 replies
    • 1.1k views

  2. Investing in a UK based company

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

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

    By Diane Thompson,
    • 2 replies
    • 240 views

  4. 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
    • 304 views

  5. Self-directed conversion (plan to IRA)

    By TPApril,
    • 9 replies
    • 408 views

  6. TPA partnering with a financial advisor

    By Santo Gold,
    • 7 replies
    • 2.3k views

  7. qdia for self directed

    By TPApril,
    • 11 replies
    • 487 views

  8. How do participants get managed-account documents?

    By Peter Gulia,
    • 0 replies
    • 107 views

  9. Does any broker-dealer allow crypto in its self-directed brokerage account?

    By Peter Gulia,   
    • 8 replies
    • 493 views

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

    By Owen Meany,   
    • 1 reply
    • 298 views

  11. I Bonds in a qualified plan

    By bvhea,
    • 5 replies
    • 378 views

  12. Leverage with options and UBTI

    By lookatmytaxes,
    • 2 replies
    • 223 views

  13. Bank Participation Loans

    By susieQ,
    • 2 replies
    • 224 views

  14. 3(21) and 3(38) fiduciary services

    By Bird,
    • 19 replies
    • 1.2k views

  15. Charging Advisor Fees to Accounts

    By BTG,
    • 5 replies
    • 449 views

  16. Which mutual fund providers furnish prospectuses in Spanish?

    By Peter Gulia,
    • 5 replies
    • 393 views

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

    By Miner88,   
    • 4 replies
    • 696 views

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

    By Susan L.,
    • 9 replies
    • 553 views

  19. Performance Disclosure Question

    By jreinhardt,   
    • 1 reply
    • 732 views

  20. Any Issues with Offering ETFs now?

    By Briandfox,
    • 1 reply
    • 856 views

  21. Particpant Direction not followed

    By mgcpension,
    • 2 replies
    • 1.4k views

  22. discriminatory to remove access to an investment?

    By AlbanyConsultant,
    • 2 replies
    • 568 views

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

    By Peter Gulia,   
    • 13 replies
    • 699 views

  24. ESG and Advisory Responsibilities

    By BruceM,
    • 0 replies
    • 502 views

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

    By Peter Gulia,   
    • 11 replies
    • 1.2k views
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