89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
…ssions
to any client or prospective client.
See In the Matter of S Squared Tech. Corp.,
Release No. 1575 (SEC. Release 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 d…
91 FR 4348 — Improving Transparency Into Pharmacy Benefit Manager Fee Disclosure ERISAProposed Rules (FR)Proposed Jan 30, 2026
…& Dana P. Goldman,
Overpaying for Prescription Drugs: The Copay Clawback,
(2018),
https://schaeffer.usc.edu/research/overpaying-for-prescription-drugs/.)
Back to Citation
183.
Megan Thompson (2018), W
hy a Patient Paid a $285 Copay for a $40 Drug, https://www.pbs.org/newshour/health/why-a-patient-paid-a-285-copa…
89 FR 5624 — Automatic Portability Transaction Regulations ERISAProposed Rules (FR)Proposed Jan 29, 2024
…ticipants-general-distribution-rules#tax-on-early-distributions.
Back to Citation
137. ($4,646,579,157 * 12%) + ($4,646,579,157 * 50% * 10%) = $789,918,457. Using a 3 percent discount rate, this results in transfers totaling $655,539,147. Using a 7 percent discount rate, this results in transfers totaling $519,964,549…
88 FR 75979 — Proposed Amendment to Prohibited Transaction Exemption 2020-02 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
y crime, however denominated by the laws of the relevant foreign or state government, that is substantially equivalent to an offense described in (A). For purposes of this section (a)(1), a person shall be deemed to have been convicted of a crime as of the “conviction date,” which is the date of the judgment of the tri…
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016
…flation Adjustment Act was $1,000 in 1989.
See
Fair Labor Standards Amendments of 1989, Pub. L. 101-157, § 9 (Nov. 17, 1989).
75 FR 41600 — Reasonable Contract or Arrangement Under Section 408(b)(2)-Fee Disclosure ERISAFinal Rules (FR)Jul 16, 2010
…,254,000
Initial Disclosure: Financial
61,000
0.75
63
46,000
2,871,000
Disclosure of Changes: Legal
157,000
0.50
119
79,000
9,369,000
Disclosure of Changes: Financial
157,000
0.33
63
52,000
3,296,000
All Years:
Information Upon Request
45,000
0.03
26
1,500
39,000
Total for 2011
74,767,000
Total for 2012
22,830,000
Note…
87 FR 14722 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAProposed Rules (FR)Proposed Mar 15, 2022related by meaning
cy or attempt to commit any such crimes or a crime of which any of the foregoing crimes is an element; or any crime described in ERISA section 411; or (B) Convicted by a foreign court of competent jurisdiction or released from imprisonment, whichever is later, as a result of any crime, however denominated by the laws o…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
within a foreign country that is included on the Department of Commerce's list of “foreign adversaries” that is codified in 15 CFR 7.4 as amended); or (2) Found or determined in a final judgment or court-approved settlement in a Federal or State criminal or civil court proceeding brought by the Department, the Departme…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
…omparable standards, including those applicable to fiduciaries under Title I and Title II of ERISA.[157]
Although some commenters maintained the Department misunderstands the NAIC Model Regulation, the Department's analysis is based on the terms of the Model
( printed page 32141)
91 FR 16088 — Fiduciary Duties in Selecting Designated Investment Alternatives ERISAProposed Rules (FR)Proposed Mar 31, 2026
…et manager selection more important for alternative asset investments than traditional investments.[157]
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★ strong match
…ourage the exercise of undue influence upon their decision-making processes by parties in interest.[157]
This is consistent with the Department's past actions. When the exemption was granted, the Department declined to reduce or delete the asset and equity thresholds as requested by some commenters.[158]
Furthermore, w…
ERISARegulationsJan 1, 2017related by meaning
For prohibited transaction penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
85 FR 82798 — Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees ERISAFinal Rules (FR)Dec 18, 2020
… be prohibited under Title I and the Code, this group of BDs will be able to rely on the exemption.[157]
Because BDs with retail customers are subject to the SEC's Regulation Best Interest, they already comply with standards substantially similar to those set forth in the exemption.
SEC-Registered Investment Advisers (…
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.
87 FR 73822 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAFinal Rules (FR)Dec 1, 2022
…sustainable equity funds outperformed their traditional peers by a median of 3.9 percentage points.[157]
(d) Fees
80 FR 72014 — Claims Procedure for Plans Providing Disability Benefits ERISAProposed Rules (FR)Proposed Nov 18, 2015
…3
$173
Preparation Cost per event
$2.50
$2.50
$2.50
$2.50
$2.50
$2.50
$2.50
Total Preparation cost
$157
$52
$1,156
$385
$1,313
$438
$1,751
Total
$157
$73
$1,156
$538
$1,313
$611
$1,925
Providing Notices in a Culturally and Linguistically Appropriate Manner:
The proposed regulations would require notices of adverse bene…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
91 FR 9213 — Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors ERISAProposed Rules (FR)Proposed Feb 25, 2026
… a result, DB Beneficiaries will not be included in calculations discussing “beneficiaries”. See 29 USC 1025 for more information.
3
Bureau of Labor Statistics, Job Opening and Labor Turnover. Table A, Total Private. February 2025. Most recent release can be found here:
https://www.bls.gov/news.release/pdf/jolts.pd…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.