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Investment Issues (Including Self-Directed)

531 topics in this forum

  1. Self-directed conversions

    By Bird,
    • 7 replies
    • 1.1k views

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

    By Peter Gulia,   
    • 8 replies
    • 329 views

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

    By Owen Meany,   
    • 1 reply
    • 142 views

  4. I Bonds in a qualified plan

    By bvhea,
    • 5 replies
    • 158 views

  5. Leverage with options and UBTI

    By lookatmytaxes,
    • 2 replies
    • 128 views

  6. Bank Participation Loans

    By susieQ,
    • 2 replies
    • 179 views

  7. 3(21) and 3(38) fiduciary services

    By Bird,
    • 19 replies
    • 902 views

  8. Charging Advisor Fees to Accounts

    By BTG,
    • 5 replies
    • 330 views

  9. Which mutual fund providers furnish prospectuses in Spanish?

    By Peter Gulia,
    • 5 replies
    • 339 views

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

    By Miner88,   
    • 4 replies
    • 581 views

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

    By Susan L.,
    • 9 replies
    • 498 views

  12. Performance Disclosure Question

    By jreinhardt,   
    • 1 reply
    • 696 views

  13. Any Issues with Offering ETFs now?

    By Briandfox,
    • 1 reply
    • 815 views

  14. Particpant Direction not followed

    By mgcpension,
    • 2 replies
    • 1.4k views

  15. discriminatory to remove access to an investment?

    By AlbanyConsultant,
    • 2 replies
    • 419 views

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

    By Peter Gulia,   
    • 13 replies
    • 662 views

  17. ESG and Advisory Responsibilities

    By BruceM,
    • 0 replies
    • 459 views

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

    By Peter Gulia,   
    • 11 replies
    • 1.1k views

  19. Prohibited Transaction

    By JustMe,
    • 1 reply
    • 331 views

  20. Missing Asset Value (Not Available)

    By NVS,
    • 6 replies
    • 529 views

  21. TPA partnering with a financial advisor

    By Santo Gold,
    • 6 replies
    • 2k views

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

    By Peter Gulia,   
    • 1 reply
    • 577 views

  23. Escheatment and beneficiaries

    By bruce71,
    • 0 replies
    • 512 views

  24. Loan and UBTI

    By cathyw,
    • 6 replies
    • 849 views

  25. notification if past date in target date fund?

    By AlbanyConsultant,
    • 2 replies
    • 555 views
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