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57 documents · 0.05sAllIRCERISAPBGCJoint Board
  1. 81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments
    ERISAFinal Rules (FR)Jul 1, 2016related by meaning
    00 per request 110 per day, not to exceed 1,100 per request 147 per day, not to exceed 1,472 per request. EBSA Employee Retirement Income Security Act Section 502(c)(7)—Per day for each failure to provide notices of blackout periods and of right to divest employer securities—each statutory recipient a separate violatio…
  2. 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.…
  3. 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…
  4. 82 FR 5373 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2017
    ERISAFinal Rules (FR)Jan 18, 2017related by meaning
    re to file annual report for Multiple Employer Welfare Arrangements (MEWAs) 29 CFR 2575.2(d) 1,502 1,527. EBSA Employee Retirement Income Security Act Section 502(c)(6)—Per day for each failure to provide Secretary of Labor requested documentation not to exceed a per-request maximum 29 CFR 2575.2(e) 147 per day, not to…
  5. DOL Office of Administrative Law Judges — U.S. DEPARTMENT OF LABOR, PENSION AND WELFARE BENEFITS ADMINISTRATION v. RICHARD L. SMITH and SMITH ADMINISTRATORS
    ERISACourt RulingsJan 20, 1998
    …les agreement between SA and ALTA Health Strategies. Exs. C55, C56 & C57. c. Respondent's Use of $5,716.38 On October 31, 1989, various bank charges in the amount of $5,716.38 incurred by SA and improperly paid out of the Plan's account were restored to the Plan as a part of the sales agreement between SA and ALTA Heal…
  6. 89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary
    ERISAFinal Rules (FR)Apr 25, 2024
    …rge firms to produce a retrospective review report, resulting in an estimated cost of $0.2 million.[716]
  7. 85 FR 2292 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2020
    ERISAFinal Rules (FR)Jan 15, 2020related 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.…
  8. 75 FR 8796 — Civil Penalties Under ERISA Section 502(c)(8)
    ERISAFinal Rules (FR)Feb 26, 2010related by meaning
    nsenting party shall have fifteen (15) days to file any objections to the proposed settlement with the administrative law judge and all other parties; (3) If any party submits an objection to the proposed settlement, the administrative law judge shall decide within 30 days after receipt of such objections whether he sh…
  9. 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
    1.3 Service: copies of documents and pleadings. For section 521 proceedings, this section shall apply in lieu of § 18.3 of this title: (a) In General. Copies of all documents shall be served on all parties of record. All documents should clearly designate the docket number, if any, and short title of all matters. All d…
  10. 87 FR 71164 — Voluntary Fiduciary Correction Program
    ERISAProposed Rules (FR)Proposed Nov 21, 2022related by meaning
    therwise would be imposed and that meet the requirement of section IV C. of the exemption are not required to provide the notice. Back to Citation 55.  For materials and postage for paper notices. 242,956 notices × 41.8% paper notices × ($0.65 per paper notice)] = $66,011. Electronic notices will be distributed at de m…
  11. 81 FR 59464 — Savings Arrangements Established by States for Non-Governmental Employees
    ERISAFinal Rules (FR)Aug 30, 2016related by meaning
    commenter asserted that the proposal contrasted with the Department's prior positions on ERISA preemption, and cited the Department's amicus brief in Golden Gate Rest. Ass'n v. San Francisco, 546 F.3d 639 (9th Cir. 2008). Because arrangements that comply with the safe harbor are being determined by regulation not to b…
  12. 81 FR 21181 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit Plans and Broker-De…
    ERISAFinal Rules (FR)Apr 8, 2016
    36.  FINRA Regulatory Notice 12-25, p. 3 (2012). Back to Citation 37.   Donovan v. Mazzola, 716 F.2d 1226, 1232 (9th Cir. 1983). Back to Citation 38.  One commenter requested an adjustment to the “prudence” component of the Best Interest Standard, under which the standard would be that of a “prudent person serving cli…
  13. 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…
  14. 81 FR 21002 — Best Interest Contract Exemption
    ERISAFinal Rules (FR)Apr 8, 2016
    o Citation 49.  SEC staff Dodd-Frank Study at 61. Back to Citation 50.   Donovan v. Mazzola, 716 F.2d 1226, 1232 (9th Cir. 1983). Back to Citation 51.  One commenter requested an adjustment to the “prudence” component of the Best Interest Standard, under which the standard would be that of a “prudent person serving cli…
  15. 81 FR 21208 — Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1
    ERISAFinal Rules (FR)Apr 8, 2016
    …itation 35.  FINRA Regulatory Notice 12-25, p. 3 (2012). Back to Citation 36.   Donovan v. Mazzola, 716 F.2d 1226, 1232 (9th Cir. 1983). Back to Citation 37.  One commenter requested an adjustment to the “prudence” component of the Best Interest standard, under which the standard would be that of a “prudent person serv…
  16. ERISARegulationsJan 1, 2017related by meaning
    [Reserved]
  17. 81 FR 21147 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Co…
    ERISAFinal Rules (FR)Apr 8, 2016
    53.  FINRA Regulatory Notice 12-25, p. 3 (2012). Back to Citation 54.   Donovan v. Mazzola, 716 F.2d 1226, 1232 (9th Cir. 1983). Back to Citation 55.  One commenter requested an adjustment to the “prudence” component of the Best Interest standard, under which the standard would be that of a “prudent person serving cli…
  18. 81 FR 21089 — Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs
    ERISAFinal Rules (FR)Apr 8, 2016
    o Citation 26.  SEC staff Dodd-Frank Study at 61. Back to Citation 27.   Donovan v. Mazzola, 716 F.2d 1226, 1232 (9th Cir. 1983). Back to Citation 28.  One commenter requested an adjustment to the “prudence” component of the Best Interest standard, under which the standard would be that of a “prudent person serving cli…
  19. 91 FR 16088 — Fiduciary Duties in Selecting Designated Investment Alternatives
    ERISAProposed Rules (FR)Proposed Mar 31, 2026
    …C ex rel. Saint Vincent Cath. Med. Ctrs. Ret. Plan v. Morgan Stanley Inv. Mgmt. Inc., 712 F.3d 705, 716 (2d Cir. 2013) (focusing “on a fiduciary's conduct in arriving at an investment decision, not on its results” (citation omitted)); DiFelice v. U.S. Airways, Inc., 497 F.3d 410, 424 (4th Cir. 2007) (“[W]hether a fiduc…
  20. 77 FR 41678 — Amendment Relating to Reasonable Contract or Arrangement Under Section 408(b)(2)-Fee Disclosure/Web Page
    ERISAFinal Rules (FR)Jul 16, 2012related by meaning
    b. L. 109-280, 120 Stat. 780, 972, and sec. 102, Reorganization Plan No. 4 of 1978, 5 U.S.C. App. 1. Sec. 2550.412-1 also issued under 29 U.S.C. 1112. 2. Section 2550.408b-2 is amended by revising paragraph (c)(1)(ix)(F) to read as follows: § 2550.408b-2 General statutory exemption for services or office space. * * * *…