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 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
ns
were made negligently or intentionally.”) (emphasis added);
see Mathews
v.
Chevron Corp.,
362 F.3d 1172, 1183 (9th Cir. 2004).
Back to Citation
37. 84 FR 33348, note 303. The Department observes that this requirement is also consistent with, for example, the requirement under section 206 of the Advisers Act, which …
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…
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016★ strong match
…,110
126
25,035
127
27,121
128
29,380
129
31,827
130
34,478
131
37,349
132
40,460
133
43,829
134
47,325
135
50,821
136
54,317
137
57,812
138
61,308
139
64,804
140 or more
68,300
* * * * *
59. Amend § 100.4 by:
( printed page 43456)
a. Revising paragraphs (a) and (b); and
b. Revising introductory paragraph (c).
80 FR 71936 — Interpretive Bulletin Relating to State Savings Programs That Sponsor or Facilitate Plans Covered by the Employee Retirement Income Security Act of 1974 ERISAFinal Rules (FR)Nov 18, 2015
…eration.”
California Div. of Labor Standards Enforcement
v.
Dillingham Constr., N.A.,
519 U.S. 316, 325-326 (1997). In determining whether a state law has a “connection with ERISA plans,” the U.S. Supreme Court “look[s] both to `the objectives of the ERISA statute as a guide to the scope of the state laws that Congress…
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
…le 5,460 provided advice to non-retail investors. Of the 14,714 SEC-registered investment advisers, 325 were dual-registered as broker-dealers.[320]
To avoid double counting when estimating compliance costs, the Department counted dually registered firms as broker-dealers and excluded them from the count of registered …
89 FR 5624 — Automatic Portability Transaction Regulations ERISAProposed Rules (FR)Proposed Jan 29, 2024
…9
27,570
26,013
24,569
23,229
21,987
20,835
19,767
18,776
17,857
229,851
= Benefits
−31
222
367
385
325
280
223
139
63
−15
1,957
Value of Duplicated Account Fees:
Rule
17
39
65
94
125
157
191
225
261
295
1,469
−Baseline
14
28
43
57
71
85
99
113
128
142
780
= Benefits
3
10
22
38
54
72
92
112
133
153
689
Value of Abandon…
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…
ERISARegulationsJan 1, 2017related by meaning
(i)(3)(ii) (ii) Upon receipt by the delivery service, if accomplished using a “designated private delivery service” within the meaning of 26 U.S.C. 7502(f);
(i)(3)(iii) (iii) Upon transmittal, if transmitted in a manner specified in the notice of intent to assess a penalty as a method of transmittal to be accorded such…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(6) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
ERISAProposed Rules (FR)Proposed Jul 21, 2016
…dol.gov/public/reports/oa/2012/09-12-002-12-121.pdf);
U.S. Gov't Accountability Office, GAO-12-325, 401(K) Plans: Increased Educational Outreach and Broader Oversight May Help Reduce Plan Fees
(2012) (available at
www.gao.gov/products/GAO-12-325);
U.S. Gov't Accountability Office, GAO-08-692, Defined Benefit Pla…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
83 FR 53534 — Definition of “Employer” Under Section 3(5) of ERISA-Association Retirement Plans and Other Multiple-Employer Plans ERISAProposed Rules (FR)Proposed Oct 23, 2018
…tivities/resource-center/publications/a-look-at-401k-plan-fees.pdf.
Back to Citation 15.
GAO-12-325,
Increased Educational Outreach and Broader Oversight May Help Reduce Plan Fees
(April 2012) at 21,
https://www.gao.gov/products/GAO-12-325.
Back to Citation
16.
GAO Testimony before the Senate Comm. on Health, Ed…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
ERISADOL Technical ReleasesApr 1, 2026
…y” upon ERISA plans, Cal. Div. of Labor Stds. Enforcement v. Dillingham Const., N.A., 519 U.S. 316, 325 (1996); or if the existence of ERISA plans is “essential to the law’s operation”, id.
81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016
…dol.gov/public/reports/oa/2012/09-12-002-12-121.pdf);
U.S. Gov't Accountability Office, GAO-12-325, 401(K) Plans: Increased Educational Outreach and Broader Oversight May Help Reduce Plan Fees
(2012) (available at
www.gao.gov/products/GAO-12-325);
U.S. Gov't Accountability Office, GAO-08-692, Defined Benefit Pla…
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 prohibited transaction penalty proceedings, this section shall apply in lieu of § 18.3 of this title.
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
…ven among those who were provided information describing the classifications of the two categories.[325]
If investors are unable to distinguish between types of advice providers, they cannot be expected to understand legal distinctions of the standard to which that advice is held.
ERISARegulationsJan 1, 2017related by meaning
For prohibited transaction penalty proceedings, this section shall apply in lieu of § 18.14 of this title.