89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
…cited several other instances where the Department confirmed its longstanding view in this respect.[209]
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 $40 Drug, https://www.pbs.org/newshour/health/why-a-patient-paid-a-285-copa…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
within a foreign country that is included on the Department of Commerce's list of “foreign adversaries” that is codified in 15 CFR 7.4 as amended); or (2) Found or determined in a final judgment or court-approved settlement in a Federal or State criminal or civil court proceeding brought by the Department, the Departme…
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016★ strong match
…ly establishing amount of ERISA civil monetary penalties
Enactment date
29 U.S.C. § 1059(b)/ERISA § 209(b)
Section 209(b) of the Employee Retirement Income Security Act of 1974, Pub. L. 93-406, 88 Stat. 829
September 2, 1974.
29 U.S.C. § 1132(c)(2)/ERISA § 502(c)(2)
Section 9342(c)(2) of the Omnibus Reconciliation Act …
ERISARegulationsJan 1, 2017★ strong match
[Reserved]
82 FR 5373 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2017 ERISAFinal Rules (FR)Jan 18, 2017★ strong match
…—Penalty Conversion Table
Points
Penalty
($)
60 or fewer
$129
61
140
62
151
63
165
64
178
65
193
66
209
67
227
68
245
69
266
70
288
71
312
72
339
73
367
74
396
77 FR 5632 — Reasonable Contract or Arrangement Under Section 408(b)(2)-Fee Disclosure ERISAFinal Rules (FR)Feb 3, 2012★ strong match
ns within the meaning of ERISA section 514 or as otherwise preempted by Title I of ERISA.
11. Application of Section 4975 of the Internal Revenue Code Code section 4975(d)(2) contains a provision that is parallel to ERISA section 408(b)(2). The interim final rule included a new provision in paragraph (c)(1)(xi) to clar…
84 FR 213 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2019 ERISAFinal Rules (FR)Jan 23, 2019★ strong match
NISTRATION AND PROCEDURE
3. The authority citation for part 702 is revised to read as follows:
Authority:
5 U.S.C. 301, and 8171
et seq.;33 U.S.C. 901 et seq.;42 U.S.C. 1651
et seq.;43 U.S.C. 1333; 28 U.S.C. 2461 note (Federal Civil Penalties Inflation Adjustment Act of 1990); Pub. L. 114-74 at sec. 701; Reorganization…
ERISACode / StatuteJan 6, 2017
(a) (a) The employer shall furnish to the plan administrator the information necessary for the administrator to make the reports required by the preceding sentence. Not more than one report shall be required under subparagraph (A) in any 12-month period. Not more than one report shall be required under subparagraph (C)…
89 FR 5624 — Automatic Portability Transaction Regulations ERISAProposed Rules (FR)Proposed Jan 29, 2024
…ifferences between the Baseline and Post-Rule:
Default IRAs
144,664
166,262
184,775
197,117
203,288
209,459
215,630
218,715
221,801
221,801
1,983,512
Accounts with AP
94,032
176,417
249,441
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,…
85 FR 2292 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2020 ERISAFinal Rules (FR)Jan 15, 2020★ strong match
s F and G issued under 8 U.S.C. 1288(c) and (d); sec. 323(c), Pub. L. 103-206, 107 Stat. 2428; and 28 U.S.C. 2461 note, Pub. L. 114-74 at section 701. Subparts H and I issued under 8 U.S.C. 1101(a)(15)(H)(i)(b) and (b)(1), 1182(n) and (t), and 1184(g) and (j); sec. 303(a)(8), Pub. L. 102-232, 105 Stat. 1733, 1748 (8 U.…
ERISARegulationsSep 1, 2017related by meaning
(c)(1)(x) (x) Preemption of State law. Nothing in this section shall be construed to supersede any provision of State law that governs disclosures by parties that provide the services described in this section, except to the extent that such law prevents the application of a requirement of this section.
(c)(1)(xi) (xi)…
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
…porate compliance with Regulation Best Interest into retail-focused examinations of broker-dealers [209]
and both the SEC and FINRA have begun enforcement actions related to Regulation Best Interest.[210]
In June 2022, the SEC charged a firm and five brokers for violating Regulation Best Interest and selling high-risk …
85 FR 82798 — Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees ERISAFinal Rules (FR)Dec 18, 2020
…service professionals to document rollover recommendations in response to Regulation Best Interest.[209]
According to the same report, almost eight in ten firms that require such documentation use a predetermined list for this purpose.[210]
Furthermore, approximately three out of four firms surveyed indicated that they…
84 FR 56894 — Default Electronic Disclosure by Employee Pension Benefit Plans Under ERISA ERISAProposed Rules (FR)Proposed Oct 23, 2019
…-profit institutions.
Respondents:
750,000.
Responses:
114,548,000.
Estimated Total Burden Hours:
1,209,000.
Estimated Total Costs:
$40,652,000.
ERISARegulationsJan 1, 2017related by meaning
[Reserved]
91 FR 16088 — Fiduciary Duties in Selecting Designated Investment Alternatives ERISAProposed Rules (FR)Proposed Mar 31, 2026
… plans invest in alternative investments [208]
but only 4 percent of defined contribution plans do.[209]
By providing a safe harbor that is asset neutral, the proposed rule will clarify and provide protection for defined contribution plan fiduciaries when prudently selecting investments for menus which will, in turn, e…
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
[Reserved]
ERISARegulationsJan 1, 2017related by meaning
For prohibited transaction penalty proceedings, this section shall apply in lieu of § 18.41 of this title.