Investment Issues (Including Self-Directed)

522 topics in this forum

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

   By Peter Gulia, yesterday at 02:21 PM   

   • investment policy
   • 7 replies
   • 137 views
   • 
   • Peter Gulia
   • 3 minutes ago

2. ESG and Advisory Responsibilities

   By BruceM, September 14
   • 0 replies
   • 367 views
   • 
   • BruceM
   • September 14

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

   By Peter Gulia, July 7   

   • fees; investment advice
   • 11 replies
   • 655 views
   • 
   • Peter Gulia
   • July 8

4. Prohibited Transaction

   By JustMe, June 26
   • 1 reply
   • 184 views
   • 
   • JustMe
   • June 26

5. Missing Asset Value (Not Available)

   By NVS, June 23
   • 6 replies
   • 291 views
   • 
   • CuseFan
   • June 24

6. TPA partnering with a financial advisor

   By Santo Gold, January 28
   • 6 replies
   • 1,671 views
   • 
   • Larry Starr
   • February 13

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

   By Peter Gulia, December 18, 2019   

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

8. Escheatment and beneficiaries

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

9. Loan and UBTI

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

10. notification if past date in target date fund?

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

11. Notification re: brokerage accounts

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

12. RIA Fees / Accrued Interest

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

13. participant dies, who is responsible for investments

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

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

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

15. 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
    • 295 views
    • 
    • QP_Guy
    • May 29, 2019

16. discriminatory to remove access to an investment?

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

17. legacy variable annuity 401(k)

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

18. Purchase house in 401(k)

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

19. Sale of a portion of farm land

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

20. State Taxation of Trust with UBIT

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

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

    By Peter Gulia, October 15, 2018   

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

22. Target Date Funds proposed regulation

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

23. In Plan Roth 401(k) Conversion

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

24. Prohibited Transaction

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

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

    By Peter Gulia, March 27, 2018   

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