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Pension Resource

29 C.F.R. § 2570.39

Opportunities to submit additional information.
eCFR editorial change effective 2017-01-01 · superseded Apr 8, 2024
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(a) An applicant may notify the Department of its intent to submit additional information supporting an exemption application either by telephone or by letter sent to the address furnished in the applicant's tentative denial letter, or electronically to the email address provided in the tentative denial letter. At the same time, the applicant should indicate generally the type of information that will be submitted.
(b) The additional information an applicant intends to provide in support of the application must be in writing and be received by the Department within 40 days from the date of the tentative denial letter. All such information must be accompanied by a declaration under penalty of perjury attesting to the truth and correctness of the information provided, which is dated and signed by a person qualified under § 2570.34(b)(5) of this subpart to sign such a declaration.
(c) If, for reasons beyond its control, an applicant is unable to submit all the additional information he or she intends to provide in support of his application within the 40-day period described in paragraph (b) of this section, he or she may request an extension of time to furnish the information. Such requests must be made before the expiration of the 40-day period and will be granted only in unusual circumstances and for a limited period as determined, respectively, by the Department in its sole discretion.
(d) If an applicant is unable to submit all of the additional information he or she intends to provide within the 40-day period specified in paragraph (b) of this section, or within any additional period granted pursuant to paragraph (c) of this section, the applicant may withdraw the exemption application before expiration of the applicable time period and reinstate it later pursuant to § 2570.44.
(e) The Department will issue, without further notice, a final denial letter denying the requested exemption pursuant to § 2570.41 where—
(1) The Department has not received the additional information that the applicant stated his or her intention to submit within the 40-day period described in paragraph (b) of this section, or within any additional period granted pursuant to paragraph (c) of this section;
(2) The applicant did not request a conference pursuant to § 2570.38(b) of this subpart; and
(3) The applicant has not withdrawn the application as permitted by paragraph (d) of this section.
29 C.F.R. § 2570.39 — Opportunities to submit additional information. · eCFR editorial change effective 2017-01-01 · https://pensionresource.website/EAMain?content=EAMain.Law&id=cfr29-2570.39&asof=2013-01-15 · printed Oct 16, 2026
On this page
  • (a) (a) An applicant may notify the Department of its intent to…
  • (b) (b) The additional information an applicant intends to prov…
  • (c) (c) If, for reasons beyond its control, an applicant is una…
  • (d) (d) If an applicant is unable to submit all of the addition…
  • (e) (e) The Department will issue, without further notice, a fi…
Implements
ERISA § 408 (29 U.S.C. § 1108) Exemptions from prohibited transactions
Cited by (code & regs)
Guidance addressing this section

No documents are primarily about this section.

Also cited in 4 other documents
Department of Labor (EBSA)
Final Rules
  • 89 FR 4662 Jan 24, 2024 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications (d)
  • 76 FR 66637 Oct 27, 2011 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans (b)(e)
Proposed Rules
  • 87 FR 14722Proposed Mar 15, 2022 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications Comments due Apr 14, 2022 (d)
  • 75 FR 53172Proposed Aug 30, 2010 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans Comments due Oct 14, 2010 (e)

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Each row is a version of the text as published by the official source. Code dates are the edition/release point that first reflected the change; regulation dates are eCFR effective dates. The library checks the official sources automatically, so new versions appear here on their own; “run” opens the sync that recorded a version.

EffectiveThroughSourceAmended by
Jul 1, 1997Jun 30, 2012CFR 2011 annual edition (revised as of 2011-07-01)View
Jul 1, 2012Apr 7, 2024eCFR editorial change effective 2017-01-01 run 129View · Redline (sign in)
Apr 8, 2024currenteCFR amendment effective 2024-04-08 run 129View · Redline (sign in)
Provision-level history (blame)