ERISADOL Technical ReleasesJul 25, 2023
…sed 26 CFR 54.9812-1(c)(4)(i) or (c)(4)(ii), 29 CFR 2590.712(c)(4)(i) or (c)(4)(ii), and 45 CFR 146.136(c)(4)(i) or (c)(4)(ii). Further, under the proposed rules, if finalized, the plan or issuer would be required to:Take reasonable action to address the material differences in access as necessary to ensure compliance,…
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…
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
d an exception from the conditions in Section III for the recapture of profits due to the benefits plans and IRAs would derive from such arrangements. Discretionary trustees were first permitted to rely on PTE 86-128 without meeting the Recapture of Profits provision pursuant to an amendment in 2002 (the 2002 Amendment…
91 FR 9213 — Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors ERISAProposed Rules (FR)Proposed Feb 25, 2026
…4
27,536,066
30,558,388
Additional Paper DB Statement Cost (1 Page)
$0
$4,065,617
$3,521,997
$3,257,498
$3,615,037
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
… in PTE 2020-02.
Robo-advisers offer varying services and different degrees of hands-on assistance.[498]
91 FR 4348 — Improving Transparency Into Pharmacy Benefit Manager Fee Disclosure ERISAProposed Rules (FR)Proposed Jan 30, 2026
…rescription drug costs.
B. Background 1. Group Health Plan Prescription Drug Coverage
Approximately 136 million Americans receive health coverage through their employers (or their family members' employers) in group health plans covered by ERISA.[9]
Group health plans provide healthcare benefits such as hospitalization…
91 FR 16088 — Fiduciary Duties in Selecting Designated Investment Alternatives ERISAProposed Rules (FR)Proposed Mar 31, 2026
…n
v.
Intel Corp. Investment Policy Committee, 137 F.4th 1015 (9th Cir. 2025), cert. granted, No. 25-498 (Jan. 16, 2026), the court's dismissal of the plaintiff's claim suggested that a fiduciary's inclusion of investments in hedge funds and private equity funds, as part of a diversified target date fund, was not incons…
88 FR 76032 — Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
b)(1), the Department is redesignating subsections IV(b)(2) and (3) as subsections IV(a)(1) and (2), respectively, and Section IV(c) as Section IV(b). The Department is proposing to revise the new Section IV(b) to read: “Recapture of profits. Sections III(a) and III(i) of this exemption do not apply in cases where the …
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
upremacy when the two regimes cannot be harmonized or accommodated”).
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50.
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…
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
…478
478
478
478
Disclosure:
Total
249,624
1,016,368
1,129,414
28,559
2,414
224,469
4,827
Per-Entity
136
136
136
189
241
241
241
Rollover Disclosure:
Total
18,804,898
76,572,316
85,088,322
1,547,433
102,479
9,530,548
204,958
Per-Entity
2
2
2
2
2
2
2
Policies and Procedures:
Total
146,328
595,837
662,103
12,041
3,453
321…
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
ss provided all copies are clear and legible.
§ 2571.4
Parties
For section 521 proceedings, this section shall apply in lieu of § 18.10 of this title: (a) The term “party” wherever used in these rules shall include any person that is a subject of the temporary order and is challenging the temporary order under these se…
78 FR 13797 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements ERISAFinal Rules (FR)Mar 1, 2013related by meaning
s provided all copies are clear and legible.
§ 2571.4
Parties.
For section 521 proceedings, this section shall apply in lieu of § 18.10 of this title: (a) The term “party” wherever used in these rules shall include any person that is a subject of the temporary order and is challenging the temporary order under these se…
ERISACourt RulingsAug 25, 1995related by meaning
which there was no exemption. By
engaging in a prohibited transaction for which there is no
exception, AMCI is liable for the penalty imposed by ERISA §502(i), 29 U.S.C. § 1132(i). By engaging in a
prohibited transaction for which there is no exception, Taggart
is liable for the penalty imposed by ERISA § 502(i), 29
U.…
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
of the Code and a health savings account described in section 223(d) of the Code.
Back to Citation
19.
Code section 4975(c)(2).
Back to Citation
20. Angela A. Hung, Noreen Clancy, Jeff Dominitz, Eric Talley, Claude Berrebi, Farrukh Suvankulov, Investor and Industry Perspectives on Investment Advisers and Broker-Deal…
80 FR 71936 — Interpretive Bulletin Relating to State Savings Programs That Sponsor or Facilitate Plans Covered by the Employee Retirement Income Security Act of 1974 ERISAFinal Rules (FR)Nov 18, 2015
…reference to [ERISA] plans”) (citation omitted);
Ingersoll-Rand Co.
v.
McClendon,
498 U.S. 133, 135-136, 140 (1990) (common law claim for wrongful discharge to prevent attainment of ERISA benefits);
Mackey
v.
Lanier Collection Agency & Serv., Inc.,
486 U.S. 825, 828 & n.2, 829-830 (1988) (exemption from garnishment sta…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
75150 (Oct. 28, 2016); PTE 2016-10, 81 FR 75147 (Oct. 28, 2016); PTE 2012-08, 77 FR 19344 (March 30, 2012); PTE 2004-13, 69 FR 54812 (Sept. 10, 2004). Back to Citation
38.
On December 12, 2018, Korea's Seoul High Court for the 7th Criminal Division (the Seoul High Court) reversed the Korean Court's decision and declar…
89 FR 43675 — Prohibited Transaction Exemption 2006-06 for Services Provided in Connection With the Termination of Abandoned Individual Account Plans ERISAFinal Rules (FR)May 17, 2024related by meaning
section 4975(c)(2) necessitate proposing an amendment to the exemption.
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26.
See 29 CFR 2578.1(d)(2)(v).
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27.
See Section I(a)(3) of this exemption amendment.
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28.
See
paragraph 29 CFR 2578.1(c)(3) of the QTA Regulation or in the case of a QTA described in Section …
ERISAFinal Rules (FR)May 17, 2024
…d the options available for distribution of their account balances. The Department estimates that 1,136,306 participants and beneficiaries will receive notices from 24,897 plan sponsors. The Department estimates that a benefits manager will spend approximately 10 minutes per plan preparing the notices. This results in …
85 FR 55219 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAProposed Rules (FR)Proposed Sep 4, 2020
…usions from Public Hearings (Jan. 1985) (1985 DOL Report), included in 1985 ERISA Hearings, at 454, 498 (“Projections are that ERISA plans will hold more than half of all the equity securities in the United States before the turn of the century. Perhaps not entirely by coincidence, take-over fever reached epidemic prop…
ERISACourt RulingsSep 17, 2026
…’l Union and Indus. Pension Fund, 147
F.4th 1314, 1322 (11th Cir. 2025), cert. denied , 224 L.Ed.2d 498
(2026) . There are reasonable arguments on both sides, as the