Investment Issues (Including Self-Directed)

523 topics in this forum

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

   By Susan L., 23 hours ago
   • 7 replies
   • 68 views
   • 
   • david rigby
   • 3 hours ago

2. Performance Disclosure Question

   By jreinhardt, February 25, 2016   

   • Models; Fees
   • 1 reply
   • 597 views
   • 
   • MICHAEL HATLEE
   • 3 hours ago

3. Any Issues with Offering ETFs now?

   By Briandfox, March 9, 2016
   • 1 reply
   • 713 views
   • 
   • MICHAEL HATLEE
   • 4 hours ago

4. Particpant Direction not followed

   By mgcpension, February 10, 2012
   • 2 replies
   • 1.3k views
   • 
   • MICHAEL HATLEE
   • 4 hours ago

5. Self-directed conversions

   By Bird, November 21, 2017
   • 7 replies
   • 877 views
   • 
   • MICHAEL HATLEE
   • 4 hours ago

6. discriminatory to remove access to an investment?

   By AlbanyConsultant, May 21, 2019
   • 2 replies
   • 293 views
   • 
   • MICHAEL HATLEE
   • 4 hours ago

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

   By Peter Gulia, November 30, 2020   

   • investment policy
   • 13 replies
   • 442 views
   • 
   • Bird
   • January 27

8. ESG and Advisory Responsibilities

   By BruceM, September 14, 2020
   • 0 replies
   • 386 views
   • 
   • BruceM
   • September 14, 2020

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

   By Peter Gulia, July 7, 2020   

   • fees; investment advice
   • 11 replies
   • 695 views
   • 
   • Peter Gulia
   • July 8, 2020

10. Prohibited Transaction

    By JustMe, June 26, 2020
    • 1 reply
    • 217 views
    • 
    • JustMe
    • June 26, 2020

11. Missing Asset Value (Not Available)

    By NVS, June 23, 2020
    • 6 replies
    • 355 views
    • 
    • CuseFan
    • June 24, 2020

12. TPA partnering with a financial advisor

    By Santo Gold, January 28, 2020
    • 6 replies
    • 1.7k views
    • 
    • Larry Starr
    • February 13, 2020

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

    By Peter Gulia, December 18, 2019   

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

14. Escheatment and beneficiaries

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

15. Loan and UBTI

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

16. notification if past date in target date fund?

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

17. Notification re: brokerage accounts

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

18. RIA Fees / Accrued Interest

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

19. participant dies, who is responsible for investments

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

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

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

21. 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
    • 306 views
    • 
    • QP_Guy
    • May 29, 2019

22. legacy variable annuity 401(k)

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

23. Purchase house in 401(k)

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

24. Sale of a portion of farm land

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

25. State Taxation of Trust with UBIT

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