81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016★ strong match
…
(1)
Willful violation.
The penalty per willful violation under section 17(a) of the Act, 29 U.S.C. 666(a), shall not be less than $8,908 and shall not exceed $124,709.
(2)
Repeated violation.
The penalty per repeated violation under section 17(a) of the Act, 29 U.S.C. 666(a), shall not exceed $124,709.
(3)
Serious vio…
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 …
85 FR 2292 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2020 ERISAFinal Rules (FR)Jan 15, 2020★ strong match
…21
91
1,648
92
1,784
93
1,932
94
2,094
95
2,268
96
2,457
97
2,661
98
2,884
99 3,124
100
3,385
101
3,666
102
3,971
103
4,302
104
4,660
105
5,049
106
5,469
107
5,925
108
6,418
109
6,953
110
7,532
111
8,157
112
8,839
113
9,575
114
10,373
115
11,236
116
12,171
117
13,186
118
14,284
119
15,474
120
16,762
121
18,159
122
19,6…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
an Insurer if, on or after September 23, 2024, the Insurer or an entity in the same Controlled Group as the Insurer has been:
(1) Convicted by either: (A) a U.S. Federal or State court of any felony involving abuse or misuse of such person's employee benefit plan position or employment, or position or employment with a…
ERISAProposed Rules (FR)Proposed Sep 15, 2021
…e and small plans, and would be the result of a decrease in the number of Form 5500-SF filers, from 666,100 to 650,700. Such a reduction in filers would be partially offset by an increase in DFE filings, which reflects the introduction of DCGs as filing entities.
( printed page 51298)
Table 3—Estimated Burden Change by…
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/.)
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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 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
…st for advisers discussed elsewhere in this analysis (
e.g.,
12b-1 fees or subtransfer agent fees).[666]
ERISACourt RulingsAug 10, 2026
… against
Altria for withhold ing a copy of the ASA , t he court reasoned that the agreement did not
USCA4 Appeal: 25-1350 Doc: 89 Filed: 08/10/2026 Pg: 8 of 21
9
provide information about Kelly ’s benefits or rights and thus “Altria was under no
obligation to provide the ASA to [Kelly ] upon his request. ” J.A. 1164 .
…
82 FR 5373 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2017 ERISAFinal Rules (FR)Jan 18, 2017related by meaning
ation for which a citation or order was issued under 104(a) of the Mine Act
30 CFR 100.5(C)
7,399
7,520.
MSHA
Federal Mine Safety & Health Act of 1977 Violation of mandatory safety standards related to smoking standards
30 CFR 100.5(D)
313
318.
MSHA
Federal Mine Safety & Health Act of 1977
Flagrant violations under 110…
ERISACourt RulingsAug 10, 2026
… against
Altria for withhold ing a copy of the ASA , t he court reasoned that the agreement did not
USCA4 Appeal: 25-2080 Doc: 59 Filed: 08/10/2026 Pg: 8 of 21
9
provide information about Kelly ’s benefits or rights and thus “Altria was under no
obligation to provide the ASA to [Kelly ] upon his request. ” J.A. 1164 .
…
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…
84 FR 213 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2019 ERISAFinal Rules (FR)Jan 23, 2019related by meaning
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.…
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…
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…
89 FR 5624 — Automatic Portability Transaction Regulations ERISAProposed Rules (FR)Proposed Jan 29, 2024
…counts 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
471,876
480,380
502,295
486,672
3,654,330
84 FR 37545 — "Open MEPs" and Other Issues Under Section 3(5) of the Employee Retirement Income Security Act ERISAProposed Rules (FR)Proposed Jul 31, 2019
…e)(3)(C)), all employees of such corporations shall be treated as employed by a single employer. 29 USC 1060(c).
Back to Citation
[FR Doc. 2019-16072 Filed 7-29-19; 8:45 am]
BILLING CODE 4510-29-P
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
…above, the Department estimates that the total cost to report this information is $31,977 annually.
666
The per-account cost is $3.30 annually, and the per-firm cost is $17 annually.
This results in a total annual cost of $32,033.[667]
Summary of Total Cost
The Department estimates that in order to meet the additional …
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024related by meaning
t to which the exemption application applies, as well as a reminder that applicants should not submit social security numbers with their applications. Beyond those changes, the Department proposed to revise paragraph (a)(6) to address foreign convictions more clearly, which was further revised in the Final Amendment so…
80 FR 21928 — Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice ERISAProposed Rules (FR)Proposed Apr 20, 2015
…od
covered
Partial Gains to Investors
Annualized, Monetized ($millions/year)
$4,243
$5,170
$3,830
4,666
2015
2015
76 FR 76235 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements ERISAProposed Rules (FR)Proposed Dec 6, 2011related by meaning
ia for determining if it appears that the MEWA or any person acting as an agent or employee of the MEWA has engaged in these forms of alleged conduct. Proposed paragraph (b)(2) of section 2560.521-1 addresses the statutory standard of fraudulent conduct. Under the proposed rules, fraudulent conduct is an act or omissio…