Brief Case
Pension Resource

29 C.F.R. § 2570.38

Tentative denial letters.
eCFR editorial change effective 2024-04-08 · current
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(a) If, after reviewing an exemption file, the Department tentatively concludes that it will not propose or grant the exemption, it will notify the applicant in writing. At the same time the Department provides the notification, the Department will also provide a brief statement of the reasons for its tentative denial.
(b) An applicant will have 20 days from the date of a tentative denial letter, unless the Department extends the time period at its sole discretion, to request a conference under § 2570.40 and/or to notify the Department of its intent to submit additional information under § 2570.39. If the Department does not receive a request for a conference or a notification of intent to submit additional information within that time, it will issue a final denial letter pursuant to § 2570.41.
Source credit, amendments & notes

Note 1 to paragraph (a):

As referenced in § 2570.33(a)(1), the Department will not hold a conference with, or issue a tentative denial letter to, an applicant who does not submit a complete application, or an applicant who does not provide current information.

29 C.F.R. § 2570.38 — Tentative denial letters. · eCFR editorial change effective 2024-04-08 · https://pensionresource.website/EAMain?content=EAMain.Law&id=cfr29-2570.38 · printed Oct 16, 2026
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  • (a) (a) If, after reviewing an exemption file, the Department t…
  • (b) (b) An applicant will have 20 days from the date of a tenta…
Implements
ERISA § 408 (29 U.S.C. § 1108) Exemptions from prohibited transactions
Cited by (code & regs)
Guidance addressing this section
Department of Labor (EBSA)
Final Rules
  • 89 FR 4662 Jan 24, 2024 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications (a)(b)
Proposed Rules
  • 87 FR 14722Proposed Mar 15, 2022 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications Comments due Apr 14, 2022 (a)(b)
Also cited in 2 other documents
Department of Labor (EBSA)
Final Rules
  • 76 FR 66637 Oct 27, 2011 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans (a)(b)
Proposed Rules
  • 75 FR 53172Proposed Aug 30, 2010 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans Comments due Oct 14, 2010 (a)(b)

No court rulings in the library cite this provision yet.

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