Investment Issues (Including Self-Directed)

517 topics in this forum

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

   By Peter Gulia, December 18, 2019   

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

2. Escheatment and beneficiaries

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

3. Loan and UBTI

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

4. notification if past date in target date fund?

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

5. Notification re: brokerage accounts

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

6. RIA Fees / Accrued Interest

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

7. participant dies, who is responsible for investments

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

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

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

9. 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
   • 242 views
   • 
   • QP_Guy
   • May 29, 2019

10. discriminatory to remove access to an investment?

    By AlbanyConsultant, May 21, 2019
    • 1 reply
    • 220 views
    • 
    • Patricia Neal Jensen
    • May 22, 2019

11. legacy variable annuity 401(k)

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

12. 231b captive insurance with life insurance inside

    By lie, February 11, 2019   

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

      Tagged with:

      • captive insurance
      • life insurance
      • lawsuite
    • 3 replies
    • 271 views
    • 
    • lie
    • February 14, 2019

13. Purchase house in 401(k)

    By Cheryl S, November 1, 2018
    • 11 replies
    • 800 views
    • 
    • Larry Starr
    • January 2, 2019

14. Sale of a portion of farm land

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

15. State Taxation of Trust with UBIT

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

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

    By Peter Gulia, October 15, 2018   

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

17. Target Date Funds proposed regulation

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

18. In Plan Roth 401(k) Conversion

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

19. Prohibited Transaction

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

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

    By Peter Gulia, March 27, 2018   

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

21. 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
    • 555 views
    • 
    • Pam Shoup
    • March 2, 2018

22. 3(21) and 3(38) fiduciary services

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

23. Self-directed conversions

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

24. Model portfolio rates of return

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

25. 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
    • 492 views
    • 
    • Peter Gulia
    • September 20, 2017