81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016
…ubparts]
Nonexperience-rated contracts:
10a.
Total premiums or subscription charges paid to carrier
10b
. If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, other than reported in Part IV, Line 13 (Fee and Commission Info…
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, 2023★ strong match
…ning the information described in Rule 10b-10(a)(1-7) under the Securities Exchange Act of 1934, 17 CFR 240.10b-10 or (b) a quarterly report containing certain financial information including the total of all transaction-related charges incurred by the plan or IRA;
(5) The investment advice provider must provide the au…
84 FR 213 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2019 ERISAFinal Rules (FR)Jan 23, 2019
epeated
29 CFR 1903.15(d)(2)
$129,336
$132,598.
OSHA
Occupational Safety and Health Act
Posting Requirement
29 CFR 1903.15(d)(6)
$12,934
$13,260.
OSHA Occupational Safety and Health Act
Failure to Abate
29 CFR 1903.15(d)(5)
$12,934
$13,260.
WHD
Family and Medical Leave Act
FMLA
29 CFR 825.300(a)(1)
$169
$173.
WHD
Fair …
89 FR 32346 — Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
mended effective April 8, 2024 (29 CFR part 2570, subpart B (89 FR 4662 (January 24, 2024)).
Back to Citation
42.
17 CFR 240.10b-16.
Back to Citation [FR Doc. 2024-08068 Filed 4-24-24; 8:45 am]
BILLING CODE 4510-29-P
82 FR 5373 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2017 ERISAFinal Rules (FR)Jan 18, 2017
ure to Abate
29 CFR 1903.15(d)(5)
12,471
12,675.
WHD
Family and Medical Leave Act
FMLA
29 CFR 825.300(a)(1)
163
166.
WHD
Fair Labor Standards Act
FLSA 29 CFR 578.3(a)
1,894
1,925.
WHD
Fair Labor Standards Act
Child Labor
29 CFR 579.1(a)(2)
1,894
1,925.
WHD
Fair Labor Standards Act
Child Labor
29 CFR 570.140(b)(1)
12,08…
85 FR 2292 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2020 ERISAFinal Rules (FR)Jan 15, 2020
er distribution from a defined benefit plan under section 206(e) of ERISA
29 CFR 2575.1-3
$16,915
$17,213
EBSA
Employee Retirement Income Security Act Failure to provide Summary of Benefits Coverage under PHS Act section 2715(f), as incorporated in ERISA section 715 and 29 CFR 2590.715-2715(e)
29 CFR 2575.1-3
$1,156
$1…
81 FR 21139 — Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Employee Be… ERISAFinal Rules (FR)Apr 8, 2016★ strong match
…tent with the disclosure requirement mandated by the Securities and Exchange Commission (SEC) in 17 CFR 240.10b-16(1) for margin transactions. Although the SEC does not mandate any recordkeeping requirement, the Department believes that it would be a usual and customary business practice for financial institutions to m…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
…se No. Aug. 7, 1996). The SEC's Rule 10b-5 under the Exchange Act imposes a similar requirement. 17 CFR 240.10b-5(b).
See also SEC
v.
Cap. Gains Rsch. Bureau, Inc.,
375 U.S. 180, 200 (1963) (“Failure to disclose material facts must be deemed fraud or deceit within its intended meaning”).
Back to Citation
38.
Id.
at 3…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
….C. 6s(h).
Back to Citation
241.
15 U.S.C. 78o-10(h).
Back to Citation
242.
7 U.S.C. 6s(h)(5); 17 CFR 23.450.
Back to Citation
243.
15 U.S.C. 78o-10(h)(4), (5).
Back to Citation
244.
See 17 CFR 23.400-451; Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties, 77 FR 9734 (Feb.…
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
….C. 6s(h). Back to Citation
125.
15 U.S.C. 78o-10(h).
Back to Citation
126.
7 U.S.C. 6s(h)(5); 17 CFR 23.450.
Back to Citation
127.
15 U.S.C. 78o-10(h)(4), (5).
Back to Citation
128.
See 17 CFR 23.400-451; Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties, 77 FR 9734 (Feb.…
ERISAFinal Rules (FR)Apr 8, 2016★ strong match
… anti-fraud provisions of the Securities Act Section 17(a), the Exchange Act Section 10(b) and Rule 10b-5 thereunder.[49] As a general matter, SEC Rule 10b-5 prohibits any person, directly or indirectly, from: (a) Employing any device, scheme, or artifice to defraud; (b) making untrue statements of material fact or omi…
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016
tatus to adopt a restoration plan
29 CFR 2575.2(k)
2014
Pub. L. 113-97
100
100
100.
( printed page 43459)
EBSA
Employee Retirement Income Security Act Section 502(m)—Failure of fiduciary to make a proper distribution from a defined benefit plan under section 206(e) of ERISA
29 CFR 2575.2(l)
1994
Pub. L. 103-465
10,000
…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
ty Obligation”);
○ charge no more than reasonable compensation and, if applicable, comply with Federal securities laws regarding “best execution”; and ○ avoid making misleading statements about investment transactions and other relevant matters;
adopt firm-level policies and procedures prudently designed to ensure comp…
ERISADOL Technical ReleasesJul 25, 2023★ strong match
governmental plan at 45 CFR 144.103.
78 FR 68240 (Nov. 13, 2013).
26 CFR 54.9812-1(c)(2)(ii); 29 CFR 2590.712(c)(2)(ii); and 45 CFR 146.136(c)(2)(ii). 26 CFR 54.9812-1(c)(2); 29 CFR 2590.712(c)(2); and 45 CFR 146.136(c)(2).
26 CFR 54.9812-1(c)(4); 29 CFR 2590.712(c)(4); and 45 CFR 146.136(c)(4).
Pub. L. 116-260, 134 St…
80 FR 22004 — Proposed Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Em… ERISAProposed Rules (FR)Proposed Apr 20, 2015
… proposed exemptions and proposed amendments to other existing exemptions.
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13.
17 CFR 240.10b-16.
Back to Citation
14.
The Department has previously determined, after consulting with the Internal Revenue Service, that plans described in 4975(e)(1) of the Code are included within the scope of relief p…
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024related by meaning
ave already disclosed certain investigations or disciplinary actions as part of its filing of a Form 10-K with the Securities and Exchange Commission. The Department proposed to delete the language in the current paragraph (c) regarding the administrative record, because that topic is now addressed in revisions to § 25…
87 FR 14722 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAProposed Rules (FR)Proposed Mar 15, 2022related by meaning
garding conflicts of interest and fiduciary liability insurance and whether the fiduciary has been under investigation or convicted of certain crimes. In addition to the requirements created by the application described in §§ 2570.34 and 2570.35, additional requirements are added by amending § 2570.34(d) with respect t…
81 FR 21089 — Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs ERISAFinal Rules (FR)Apr 8, 2016
… anti-fraud provisions of the Securities Act Section 17(a), the Exchange Act Section 10(b) and Rule 10b-5 thereunder.[26] As a general matter, SEC Rule 10b-5 prohibits any person, directly or indirectly, from: (a) Employing any device, scheme, or artifice to defraud; (b) making untrue statements of material fact or omi…
ERISARegulationsJan 1, 2017related by meaning
[Reserved]
ERISARegulationsJan 1, 2017related by meaning
[Reserved]