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
nancial institution, an insurance company, or a broker-dealer.
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8.
Cerulli Associates, “Retirement Markets 2015.”
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9. The Department initially proposed an amendment to its regulation defining a fiduciary within the meaning of ERISA section 3(21)(A)(ii) and Code section 4975(e)(3)(B) on…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
…ket.
The Department has examined the effect of the rulemaking as required by Executive Order 13563,[293]
Executive Order 12866,[294]
the Regulatory Flexibility Act,[295]
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016
…esulted in a minimum penalty of $2,259 (rounded to the nearest dollar) and a maximum penalty of $11,293 (rounded to the nearest dollar). The amount of the increase from existing § 702.271(a)(2)'s $1,100 minimum penalty to $2,259 is $1,159, which is less than the statutory cap of 150 percent of the existing $1,100 minim…
89 FR 5624 — Automatic Portability Transaction Regulations ERISAProposed Rules (FR)Proposed Jan 29, 2024
…9,441
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
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related 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…
90 FR 3667 — Prohibited Transaction Exemption (PTE) 2002-51 To Permit Certain Transactions Identified in the Voluntary Fiduciary Correction Program ERISAFinal Rules (FR)Jan 15, 2025related by meaning
act me if you have any questions at [Insert Telephone Number of a Person Employed by the Applicant Who Is Knowledgeable About this Matter].
Sincerely, [Insert Name and Title of Person Employed by the Applicant]
Footnotes
1.
Under Reorganization Plan No. 4 of 1978, 5 U.S.C. App., the authority of the Secretary of Treas…
ERISAFinal Rules (FR)Feb 24, 2023
…-plans.
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42.
Average number of ERISA plans per pre-approved plan = 531,872/1,813 = 293.4. Estimate of total number of ERISA plans filing as part of a DCG = (2 × 71 = 142) × 293.4*0.5 ≉ 20,827.
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43.
87 FR 73822 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAFinal Rules (FR)Dec 1, 2022
…nvironment, social risks and risks related to the depreciation of assets due to regulatory changes.[293]
91 FR 4348 — Improving Transparency Into Pharmacy Benefit Manager Fee Disclosure ERISAProposed Rules (FR)Proposed Jan 30, 2026
…ities in response to the copayment changes, ranging from -0.11 to -0.14 for these three conditions.[293]
Applying these elasticities to the estimated number of self-insured and level-funded group health plan participants and beneficiaries prescribed these
( printed page 4394)
medications and assuming a one percent decr…
87 FR 70753 — Prohibited Transaction Exemption (PTE) 2002-51 To Permit Certain Transactions Identified in the Voluntary Fiduciary Correction Program ERISAProposed Rules (FR)Proposed Nov 21, 2022related by meaning
he Department no longer believes that posting the notification is reasonably calculated to ensure that interested persons actually receive the notice. The Department has reviewed several notices to interested persons submitted to the applicable Regional Offices and found that some of them do not meet the applicable req…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
ERISARegulationsJan 1, 2017related by meaning
For prohibited transaction penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(6) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
ERISARegulationsJan 1, 2017related by meaning
[Reserved]
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
90 FR 4192 — Voluntary Fiduciary Correction Program ERISAFinal Rules (FR)Jan 15, 2025
…C)
(D)
(A × D)
Service providers prepare information (non-bulk)
326
2
652
$121.53
$79,238
$10.10
$3,293
Service providers prepare information (bulk)
2
20
40
121.53
4,861
10.10
20
Service providers maintain recordkeeping for SCC
909
0.17
152
121.53
18,412
Total
1,237
844
102,511
3,313
VFCP Class Exemption (PTE 2002-51)
ERISARegulationsJan 1, 2017related by meaning
For prohibited transaction penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(7) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.