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
Document Headings
Document headings vary by document type but may contain
the following:
the agency or agencies that issued and signed a document
the number of the CFR title and the number of each part
the document amends, proposes to amend, or is directly
related to
the agency docket number / agency internal file numb…
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
…y or other property available as an investment under the plan pursuant to the investment advice.”
[141]
As has been true since the Department first proposed regulations under this section in 1975 and as discussed above, the Department understands the phrase “for a fee or other compensation, direct or indirect” to enco…
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
ter
.
Description of the Proposed Revocation of PTE 75-1, Part I(b) and (c), and II(2), and Proposed Amendment to and Restatement of PTE 75-1, Part II Lastly, the Department proposes to revoke Part I(b) and I(c) of PTE 75-1, and Part II(2) of PTE 75-1. Part I(b) of PTE 75-1 provides relief from ERISA section 406 and th…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
…ties section.
Back to Citation
737. This is estimated as: (500,000 Retirement Investors × 28.2%) = 141,000 paper disclosures. Note, the total values may not equal the sum of the parts due to rounding.
Back to Citation
738.
This is estimated as: (141,000 paper disclosures × (2 minutes ÷ 60 minutes)) = 4,700 hours. A l…
80 FR 22010 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and B… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
e authority of the Secretary of the Treasury to issue administrative exemptions under Code section 4975 to the Secretary of Labor.
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3. For purposes of this amendment, the terms “Individual Retirement Account” or “IRA” mean any trust, account or annuity described in Code section 4975(e)(1)(B) through (F…
89 FR 34106 — Definition of “Employer”-Association Health Plans ERISAFinal Rules (FR)Apr 30, 2024
…ion was contrary to ERISA and the APA and that it relied on “a tortured reading” of the ACA.
Id.
at 141. The court described the defense of the working owner test as “pure legerdemain,” noting that “DOL's feat of prestidigitation transforms two individuals, neither of whom works for the other, into a total of three emp…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024
…= $41,322,500.
Back to Citation
88.
This is estimated as: (500,000 Retirement Investors × 28.2%) = 141,000 paper disclosures.
Back to Citation
89. This is estimated as: [141,000 paper disclosures × (2 minutes ÷ 60 minutes)] + [14,100 paper disclosures × (10 minutes) ÷ 60 minutes)] = 13,503 hours. A labor rate of $165…
85 FR 82798 — Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees ERISAFinal Rules (FR)Dec 18, 2020
…s cited a recent Supreme Court case,
Lucia
v.
SEC,
which they said struck down a similar structure.[141]
Other commenters stated that this eligibility provision overstepped the Department's authority.
91 FR 16088 — Fiduciary Duties in Selecting Designated Investment Alternatives ERISAProposed Rules (FR)Proposed Mar 31, 2026
…r net returns can be hard to compare to traditional investments due to customizable fee structures.[141]
When these products are incorporated carefully and intentionally, such risks can be mitigated.
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024
… Burden hours
Equivalent burden cost
Burden hours
Equivalent burden cost
Financial Adviser
622,676
$141,970,058
622,676
$141,970,058
Total
622,676
141,970,058
622,676
141,970,058
These rollover disclosures
are expected to be two pages in length and accompany other documentation associated with the transactions at no ad…
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
…ail to report reliance each year, or 217 QPAMs in the first year and two QPAMs in subsequent years.[141]
ERISARegulationsJan 1, 2017
…inistrator or a representative thereof files a request for a hearing under §§ 2570.130 through 2570.141 of this chapter, and files an answer to the notice. The request for hearing and answer must be filed in accordance with § 2570.132 of this chapter and § 18.4 of this title. The answer opposing the proposed sanction s…
89 FR 5624 — Automatic Portability Transaction Regulations ERISAProposed Rules (FR)Proposed Jan 29, 2024
…ction in incremental costs to $12.6 million [140]
(compared to $16.2 million in the main analysis),[141]
ERISARegulationsJan 1, 2017
…inistrator or a representative thereof files a request for a hearing under §§ 2570.130 through 2570.141 of this chapter, and files an answer to the notice. The request for hearing and answer must be filed in accordance with § 2570.132 of this chapter and § 18.4 of this title. The answer opposing the proposed sanction s…
ERISADOL Technical ReleasesJun 22, 2011related by meaning
act directly with IROs and may, instead, rely on contracts with TPAs. That FAQ guidance is not modified in any way by this technical release.
Appendix Revised Model Notice of Adverse Benefit Determination
Revised Model Notice of Final Internal Adverse Benefit Determination
Revised Model Notice of Final External Review …
ERISARegulationsJan 1, 2017
…ction shall be defined as it is defined under section 4975(f)(4) of the Code. As provided in 26 CFR 141.4975.13, 26 CFR 53.4941(e)-1(b) is controlling with respect to the interpretation of the term “amount involved” under section 4975 of the Code. Accordingly, the Department of Labor will apply the principles set out a…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.41 of this title.
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(6) civil penalty proceedings, this section shall apply in lieu of § 18.41 of this title.
88 FR 87968 — Definition of “Employer”-Association Health Plans ERISAProposed Rules (FR)Proposed Dec 20, 2023
…ISA and the APA and that it relied on “a tortured reading” of the Affordable Care Act (ACA).
Id.
at 141.
Back to Citation
25.
Id.
at 128.
Back to Citation
26.
Id.
at 141.
Back to Citation
27.
New York
v.
United States Department of Labor,
363 F. Supp. 3d 109,
appeal docketed,
No. 19-5125 (D.C. Cir. May 31, 2019).…
91 FR 4348 — Improving Transparency Into Pharmacy Benefit Manager Fee Disclosure ERISAProposed Rules (FR)Proposed Jan 30, 2026
… and the PBM agree that these payments will be used to compensate the PBM for services to the plan.[141]
While information to support these Schedule C items would likely be provided as part of the semiannual disclosure in proposed paragraph (g), paragraph (i) would underscore the covered service provider's obligation t…