Investment Issues (Including Self-Directed)

546 topics in this forum

1. location of assets

   By k man, August 2, 2005
   • 8 replies
   • 2.6k views
   • 
   • mbozek
   • August 9, 2005

2. Real Estate LLC and Regulated Financial Institution

   By Guest dbvail, July 29, 2008
   • 8 replies
   • 2.4k views
   • 
   • QDROphile
   • July 14, 2016

3. Paying individual advice fees from that participant's assets

   By Guest CitationSquirrel, November 25, 2013
   • 8 replies
   • 2.5k views
   • 
   • BG5150
   • May 1, 2014

4. QDIA: when do you deliver prospectus

   By k man, March 13, 2008
   • 8 replies
   • 2.7k views
   • 
   • John Feldt ERPA CPC QPA
   • March 21, 2008

5. Liquidation of participant-directed brokerage accounts authorized by plan trustee

   By lisabroc, April 7, 2016
   • 8 replies
   • 1.3k views
   • 
   • lisabroc
   • April 8, 2016

6. NSCC Multi-fund platform

   By Guest Phil L, October 13, 1999
   • 7 replies
   • 3.1k views
   • 
   • Archimage
   • February 22, 2002

7. Processing Trades

   By k man, March 28, 2000
   • 7 replies
   • 2.2k views
   • 
   • Guest
   • March 31, 2000

8. Sale of a portion of farm land

   By kwalified, December 18, 2018
   • 7 replies
   • 1.3k views
   • 
   • Bird
   • December 20, 2018

9. Self directed IRA LLC

   By Guest nealjpc, March 11, 2011
   • 7 replies
   • 1.7k views
   • 
   • Guest
   • April 10, 2011

10. Choosing Daily Valuation System

    By Guest DBQBenefits, August 8, 2002
    • 7 replies
    • 3.1k views
    • 
    • Guest
    • August 28, 2002

11. Fiduciary with insider information

    By Guest allisonperry, June 2, 2005
    • 7 replies
    • 2.1k views
    • 
    • Kirk Maldonado
    • June 10, 2005

12. Terminating a plan with a farm as an asset?

    By Lori H, June 4, 2014
    • 7 replies
    • 1.3k views
    • 
    • My 2 cents
    • June 6, 2014

13. Which recordkeepers offer a mutual-fund-only window?

    By Peter Gulia, March 9
    • 7 replies
    • 169 views
    • 
    • Peter Gulia
    • March 11

14. Notification re: brokerage accounts

    By TPApril, October 10, 2019
    • 7 replies
    • 1.2k views
    • 
    • Pam Shoup
    • October 11, 2019

15. TPA partnering with a financial advisor

    By Santo Gold, January 28, 2020
    • 7 replies
    • 2.7k views
    • 
    • nevenkaconsiders
    • June 23, 2022

16. Officer makes an improper investment of his self directed account

    By katieinny, May 24, 2006
    • 7 replies
    • 1.7k views
    • 
    • QDROphile
    • May 26, 2006

17. Has anyone seen an ERISA 408(g) compliance audit?

    By Peter Gulia, June 4, 2009
    • 7 replies
    • 6k views
    • 
    • Guest
    • March 10, 2012

18. Duty to monitor investment alternatives

    By Guest ly, October 21, 2002
    • 7 replies
    • 1.7k views
    • 
    • mbozek
    • October 21, 2002

19. Trying to get rid of LLC in plan

    By AKconsult, August 5, 2010
    • 7 replies
    • 1.4k views
    • 
    • QDROphile
    • August 6, 2010

20. PS plan investment

    By Guest babs51, September 7, 2006
    • 7 replies
    • 2.1k views
    • 
    • Bird
    • September 8, 2006

21. Small Plan Master Trust

    By Guest LoloV, August 19, 2003
    • 7 replies
    • 8k views
    • 
    • Kirk Maldonado
    • December 12, 2005

22. participant dies, who is responsible for investments

    By DMcGovern, September 13, 2019
    • 6 replies
    • 1k views
    • 
    • Luke Bailey
    • September 16, 2019

23. Participant's son as broker

    By SMB, September 8, 2008
    • 6 replies
    • 1.3k views
    • 
    • K2retire
    • September 10, 2008

24. Market Value Equalizer Payments

    By Randy Watson, November 6, 2007
    • 6 replies
    • 3.2k views
    • 
    • Bird
    • November 7, 2007

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

    By Peter Gulia, March 27, 2018   

    • fiduciary
    • 6 replies
    • 1.2k views
    • 
    • Peter Gulia
    • March 29, 2018