80 FR 22021 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit P… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
tes) and any related entity in connection with the transaction is reasonable in relation to the total services the person provides to the plan or IRA. The Department requests comment on the necessity of incorporating relief for related entities in PTE 86-128, and the approach taken in this proposal to do so.
V. The 200…
81 FR 21181 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit Plans and Broker-De… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
the Department proposed to restrict relief to IRA fiduciaries with discretionary authority or control over the management of the IRA's assets (
i.e., investment managers) and to impose the exemption's protective conditions on investment management fiduciaries when they engage in transactions with IRAs. Finally, the De…
88 FR 54511 — Request for Information-SECURE 2.0 Reporting and Disclosure ERISAProposed Rules (FR)Proposed Aug 11, 2023
E 2.0 requires the Department to issue regulations implementing the requirements under section 113 of ERISA not earlier than one year after enactment. Further, these regulations must contain a model disclosure reflecting the content requirements under section 113 that plan administrators may use to discharge their stat…
89 FR 5624 — Automatic Portability Transaction Regulations ERISAProposed Rules (FR)Proposed Jan 29, 2024
…1,801
1,983,512
Accounts with AP
94,032
176,417
249,441
299,357
324,685
350,261
376,083
389,086
402,152
402,152
3,063,666
AP Transfers
60,265
182,122
293,101
361,675
386,934
429,010
471,876
480,380
502,295
486,672
3,654,330
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
… 4975(c)(2) of the Code.
Back to Citation
151.
ERISA section 406, 29 U.S.C. 1106.
Back to Citation
152.
Lockheed Corp.
v.
Spink,
517 U.S. 882 (1996);
Comm'r
v.
Keystone Consol. Indus, Inc.,
508 U.S. 152 (1993).
Back to Citation
153.
Cf.26 U.S.C. 4975(c)(1), Code section 4975(f)(5) defining “correction” with respec…
91 FR 9213 — Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors ERISAProposed Rules (FR)Proposed Feb 25, 2026
…921
$60,610,921
$60,610,921
Preparation: 2020 Safe Harbor Explanation (Year 1 Only)
$14,586,856
$15,152,730
$0
$15,152,730 Preparation: 2002 Safe Harbor Notice (Year 1 Only)
$6,069,717
$0
$15,152,730
$15,152,730
Add Contact Info: 2020 Safe Harbor Explanation (Year 1 Only)
$4,059,862
$4,224,622
$0
$4,224,622
Add Contact…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
…irement investors to the same degree as the fiduciary protections in Title I and Title II of ERISA.[152]
Although the NAIC Model Regulation provides that insurers must “establish and maintain reasonable procedures to identify and eliminate any sales contests, sales quotas, bonuses, and non-cash compensation that are ba…
81 FR 21147 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Co… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
tion
45.
15 U.S.C. 80b-11(g)(1).
Back to Citation
46.
See e.g., Fish
v.
GreatBanc Trust Company,
749 F.3d 671 (7th Cir. 2014).
Back to Citation
47. As a practical matter, one way for financial institutions to ensure that they can meet this burden is by implementing strong anti-conflict policies and procedures, and …
89 FR 32346 — Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
t. Life Ins. Co.
v.
Harris Trust & Sav. Bank,
510 U.S. 86, 98 (1993).
Back to Citation
40.
See BancOklahoma Mortg. Corp.
v.
Capital Title Co., Inc., 194 F.3d 1089 (10th Cir. 1999) (stating that McCarran-Ferguson Act bars the application of a Federal statute only if (1) the Federal statute does not specifically relate…
ERISACourt RulingsFeb 22, 2000★ strong match
…she began work for
Current Deve1opment in January, 1986, and ceased work there on July
29, 1992. (T 152) She became a member of the Plans in 1987, for
which she received an annual, individual participant statement
through 1992, but they ceased after that. (T 152 - 153)
Ms. Palaoro stated that she received the 1991
stat…
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026
…law on March 23, 2010, and the Health Care and Education Reconciliation Act of 2010, Public Law 111-152, was signed into law on March
( printed page 46626)
30, 2010 (collectively known as the “Affordable Care Act”). The Affordable Care Act amends PHS Act by adding section 2715 “Development and Utilization of Uniform Ex…
ERISACourt RulingsFeb 21, 1997related by meaning
d $2,000.00 within forty (40) days after the date of the
entry of this Order. 3. This
Court shall retain jurisdiction over this action for purposes of enforcing the terms of this Order until El Dorado has made the
payments required pursuant to paragraph 2, above, after which time
this action shall be dismissed.
4. The …
91 FR 4348 — Improving Transparency Into Pharmacy Benefit Manager Fee Disclosure ERISAProposed Rules (FR)Proposed Jan 30, 2026
…s suggests that recent price increases were concentrated in higher-cost prescription drug products.[152]
ERISACourt RulingsMay 2, 1997related by meaning
as agreed to pay the
reduced penalty as outlined in the Settlement. Respondent states
that it is now in compliance with the reporting require-ments of ERISA. Further, the parties agreed that this Office shall retain
jurisdiction over this matter until the financial agreement is
completed. After that, this matter shall …
89 FR 23090 — Amendment to Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) ERISAFinal Rules (FR)Apr 3, 2024
…6.[151]
In addition, material and mailing costs for all of these notices totals approximately $378.[152]
The Department estimates that approximately 40 (20 percent of the total number of notices) will be distributed electronically.
Additional Requirement for QPAMs Requesting an Individual Exemption
ERISACourt RulingsJan 20, 1998related by meaning
over its proceeds,
including accrued interest, into CD No. 11813-17572 in the amount
of $249,683.99 issued by TC; this CD was pledged as collateral on Loan No. 1310001 on October 15, 1987.10 Ex. C10 & C11. On
October 19, 1987, CD No. 11813-17493 matured, and Respondents
rolled its proceeds over into CD No. 11813-17579 …
ERISACourt Rulingsrelated by meaning
hereof.
Having duly considered the matter,
IT IS ORDERED that the Joint Stipulation is
hereby approved and the proceeding in this matter is DISMISSED, with prejudice.
[Page 2]
IT IS FURTHER ORDERED:
1. That this Order shall have the same force
and effect as an order made after a full hearing;
2. That the entire record …
75 FR 41600 — Reasonable Contract or Arrangement Under Section 408(b)(2)-Fee Disclosure ERISAFinal Rules (FR)Jul 16, 2010
…e 41628)
As shown in Table 10, total costs for service providers and plan sponsors add up to about $152.5 million for the year 2011.
Table 10—Total Discounted Costs of Proposal
Year
Cost of legal review
Cost of general information disclosure
Cost of investment information disclosure
Cost of qualifying for exemption
Tot…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
…frustrate [a] goal of that law.”
Humana Inc. V. Forsyth,
525 U.S. 299, 308 (1999).
Back to Citation
113.
76 FR 76235 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements ERISAProposed Rules (FR)Proposed Dec 6, 2011related by meaning
efly state the grounds for denial and shall then treat the petition as a request for participation as amicus curiae.
§ 2571.5
Consequences of default. For section 521 proceedings, this section shall apply in lieu of § 18.5(b) of this title: Failure of the respondent to file an answer to the temporary order within the 3…