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 …
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024related by meaning
bbery, extortion, forgery, counterfeiting, fraudulent concealment, embezzlement, fraudulent conversion, or misappropriation of funds or securities; or (ii) A statement describing the applicable investigation, examination, litigation, or controversy; and
(12)(i)(A) Either a statement that, within the last 13 years, the …
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…
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…
88 FR 76004 — Proposed Amendment to Prohibited Transaction Exemption 84-24 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
neligible under Section VIII(a)(3) or 10 years after the person was released from imprisonment as a result of a crime described in (a)(1) if later; or (C) the date, if any, the Department grants an individual exemption which may impose additional conditions) to the person permitting its continued reliance on this exemp…
91 FR 9213 — Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors ERISAProposed Rules (FR)Proposed Feb 25, 2026★ strong match
…
35.9
0
0
0
4,139,119
4,139,119
4
61.7
38.3
34.4
0
0
0
3,977,383
3,977,383
5
62.3
37.7
33.8
0
0
0
3,898,691
3,898,691
6
62.7
37.3
33.4
0
0
0
3,860,403
3,860,403
7
62.8
37.2
33.3
0
0
0
3,841,774
3,841,774
8
62.9
37.1
33.2
0
0
0
3,832,710
3,832,710
9
63.0
37.0
33.1
0
0
0
3,828,300
3,828,300
10
63.0
37.0
33.1
0
0
0
3,826,…
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 16088 — Fiduciary Duties in Selecting Designated Investment Alternatives ERISAProposed Rules (FR)Proposed Mar 31, 2026
…them to hire independent professional advisors”);
Harley
v.
Minn. Mining & Mfg. Co.,
42 F. Supp. 2d 898, 907 (D. Minn. 1999),
aff'd sub nom. Harley
v.
Minn. Min. & Mfg. Co.,
284 F.3d 901 (8th Cir. 2002) (“[(“[I]f ]f a fiduciary lacks the education, experience, or skills to be able to conduct a reasonable, independent i…
87 FR 45204 — Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) ERISAProposed Rules (FR)Proposed Jul 27, 2022related by meaning
ny court in a foreign jurisdiction that is the equivalent of a U.S. federal or state trial court), regardless of whether that judgment is appealed; or (2) the date of the written “Ineligibility Notice” described in Section I(i), below. A person will become eligible to rely on this exemption again only upon a subsequent…
ERISARegulationsApr 8, 2024related by meaning
(f)(11)(i)(E) (E) Any felony or conspiracy involving the larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent concealment, embezzlement, fraudulent conversion, or misappropriation of funds or securities; or
(f)(11)(ii) (ii) A statement describing the applicable investigation, examination, litigation,…
ERISACourt RulingsAug 31, 2026
…h Bldg.
Trades Welfare Fund, 299 F.3d 686, 689 (8th Cir. 2002) ;
Penn v. Howe - Baker Engrs., Inc., 898 F.2d 1096, 1100 (5th
Cir. 1990).
III.
Liu argues that the Complaint plausibly alleg es
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016related by meaning
note, Pub. L. 114-74 at § 701. Subparts H and I issued under 8 U.S.C. 1101(a)(15)(H)(i)(b) and (b1), 1182(n), 1182(t), and 1184; 29 U.S.C. 49
et seq.; sec 303(a)(8), Pub. L. 102-232, 105 Stat. 1733, 1748 (8 U.S.C. 1182 note); and Title IV, Pub. L. 105-277, 112 Stat. 2681; and 28 U.S.C. 2461 note, Pub. L. 114-74 at § 70…
ERISACourt RulingsAug 10, 2026
…same standards
employed by the district court in considering the plan administrator’s decision. Id. USCA4 Appeal: 25-1350 Doc: 89 Filed: 08/10/2026 Pg: 9 of 21
10
and the Named Fiduciary with respect to such management and administrative duties
within the meaning of ERISA”) ; J.A. 364 (naming the administrator as a fid…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
ERISACourt RulingsAug 10, 2026
…same standards
employed by the district court in considering the plan administrator’s decision. Id. USCA4 Appeal: 25-2080 Doc: 59 Filed: 08/10/2026 Pg: 9 of 21
10
and the Named Fiduciary with respect to such management and administrative duties
within the meaning of ERISA”) ; J.A. 364 (naming the administrator as a fid…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(6) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
…28,559
2,414
224,469
4,827
Per-Entity
136
136
136
189
241
241
241
Rollover Disclosure:
Total
18,804,898
76,572,316
85,088,322
1,547,433
102,479
9,530,548
204,958
Per-Entity
2
2
2
2
2
2
2
Policies and Procedures:
Total
146,328
595,837
662,103
12,041
3,453
321,138
6,906
Per-Entity
80
80
80
80
345
345
345
Retrospective Re…
88 FR 76032 — Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
rm × 5.8 percent paper) + (11,000 Annual Statement × 5.8 percent paper) + (11,000 Report of Commissions Paid × 5.8 percent paper) = 1,943 disclosures. Back to Citation
52.
5 U.S.C. 601
et seq.
Back to Citation
53.
5 U.S.C. 601(2), 603(a); see also 5 U.S.C. 551.
Back to Citation
54.
Public Law 104-4, 109 Stat. 48 (Ma…
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).
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[FR Doc. 2019-16072 Filed 7-29-19; 8:45 am]
BILLING CODE 4510-29-P