Self-Directed Brokerage Accounts

[Guest MikeAIGFA]

Does anyone have reference or a list of the unallowable (or allowable) investments under 404c regarding self-directed brokerages? It may be a list of prohibited actions (eg shorting) but I am not sure

Also, are there things an adviser should be/could be doing on a routine basis with SDBA in reporting to Plan Sponsors?

thanks

[QDROphile]

If the plan is a 401(k) plan and the plan is not registered, no employer securities.

[J Simmons]

Often 404c plans will expressly prohibit investments that would be 'prohibited transactions', result in unrelated business taxable income, be in collectibles, or be offshore (generally).