81 FR 92316 — Claims Procedure for Plans Providing Disability Benefits ERISAFinal Rules (FR)Dec 19, 2016
…n, (202) 693-8500. This is not a toll free number.
SUPPLEMENTARY INFORMATION:
I. Background Section 503 of ERISA requires every employee benefit plan, in accordance with regulations of the Department, to “provide adequate notice in writing to any participant or beneficiary whose claim for benefits under the plan has be…
80 FR 72014 — Claims Procedure for Plans Providing Disability Benefits ERISAProposed Rules (FR)Proposed Nov 18, 2015
… culturally and linguistically appropriate manner ($1.1 million annually).
B. Background
1. Section 503 of ERISA and the Section 503 Regulations Section 503 of ERISA requires every employee benefit plan, in accordance with regulations of the Department, to “provide adequate notice in writing to any participant or benef…
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, 2016related by meaning
of the Code and a health savings account described in section 223(d) of the Code.
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19.
Code section 4975(c)(2).
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20. Angela A. Hung, Noreen Clancy, Jeff Dominitz, Eric Talley, Claude Berrebi, Farrukh Suvankulov, Investor and Industry Perspectives on Investment Advisers and Broker-Deal…
80 FR 22010 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and B… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
rnishing of goods, services or facilities to a plan or IRA and (4) the transfer to or use by or for the benefit of a party in interest of plan assets. ERISA section 406(b) and Code section 4975(c)(1)(E) and (F) are aimed at fiduciaries only. These provisions generally prohibit a fiduciary from dealing with the income o…
80 FR 22021 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit P… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
thority or responsibility to do so; or, (3) has any discretionary authority or discretionary responsibility in the administration of such plan or IRA. ERISA section 406(b)(1) and Code section 4975(c)(1)(E) prohibit a fiduciary from dealing with the income or assets of a plan or IRA in his or her own interest or his or …
DOL Info. Ltr. 06-14-2021 — Information Letter concerning whether the provisions of the claims procedure regulation at 29 CFR 2560.503-1 require the plan to provide to a claimant, a copy … ERISADOL Information LettersJun 14, 2021
…nger Ayeni:
This responds to your inquiry regarding the claims procedure requirements under section 503 of Title I
of the Employee Retirement Income Security Act of 1974, as amended (ERISA). In particular, you ask
whether ERISA section 503 and the Department of Labor’s implementing claims procedure regulation at
29 CFR…
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, 2016related by meaning
relief from the indicated prohibited transaction provisions of both ERISA and the Code.
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3.
ERISA section 404(a).
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4. ERISA section 406. ERISA also prohibits certain transactions between a plan and a “party in interest.”
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5.
ERISA section 409;
see also
ERISA section 40…
85 FR 2292 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2020 ERISAFinal Rules (FR)Jan 15, 2020
…4)
115,624
117,664
§ 501.19(d)
5,839
5,942
§ 501.19(e)
17,344
17,650
§ 501.19(f)
17,344
17,650
PART 503—ENFORCEMENT OF OBLIGATIONS FOR TEMPORARY NONIMMIGRANT NON-AGRICULTURAL WORKERS DESCRIBED IN THE IMMIGRATION AND NATIONALITY ACT
13. The authority citation for part 503 continues to read as follows:
Authority:
8 U.S.C…
75 FR 8796 — Civil Penalties Under ERISA Section 502(c)(8) ERISAFinal Rules (FR)Feb 26, 2010related by meaning
ch sets forth additional circumstances in which the Service will automatically approve a request to revoke a section 204 election.
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4. An excise tax under Code section 4971(g)(4) generally applies, in addition to any penalty under ERISA section 502(c)(8), in the case of a failure to adopt a rehabilitat…
82 FR 55507 — Extension of Certain Time Frames for Employee Benefit Plans, Participants, and Beneficiaries Affected by Hurricane Maria ERISAFinal Rules (FR)Nov 22, 2017
…ction 606, Code section 4980B(f)(6), and 29 CFR 2590.606-3. C. Claims Procedure Time Frames
Section 503 of ERISA and 29 CFR 2560.503-1, as well as section 2719 of the PHS Act, incorporated into ERISA by ERISA section 715 and into the Code by Code section 9815, 29 CFR 2590.715-2719, and 26 CFR 54.9815-2719, require ERIS…
88 FR 75979 — Proposed Amendment to Prohibited Transaction Exemption 2020-02 ERISAProposed Rules (FR)Proposed Nov 3, 2023
…of the disclosures that would not be sent electronically, which the Department estimates to cost $8,503.[44]
Table 7—Material and Postage Cost Associated With the Written Description Statement of the Right to Obtain a Written Description of the Financial Institution's Policies and Procedures and Provision of Requested …
ERISACourt RulingsSep 29, 2026
…eral regulations that require
“notification of any adverse benefit determination.” 29 C.F.R. § 2560.503 –
1(g)(1). The term adverse benefit determination includes “a denial” of
benefits. 29 C.F.R. § 2560.503– 1(m)(4)(iv). So the notice requirement
applies to the decision s at both stages.
The resulting issue is what th…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
sation” within the contemplation of section 408(b)(2) and 408(c)(2) of ERISA and section 4975(d)(2) and 4975(d)(10) of the Code.
( printed page 32339) If such total is in excess of “reasonable compensation,” the “amount involved” for purposes of the civil penalties of section 502(i) of ERISA and the excise taxes impose…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
84 FR 213 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2019 ERISAFinal Rules (FR)Jan 23, 2019
…4)
112,780
115,624
§ 501.19(d)
5,695
5,839
§ 501.19(e)
16,917
17,344
§ 501.19(f)
16,917
17,344
PART 503—ENFORCEMENT OF OBLIGATIONS FOR TEMPORARY NONIMMIGRANT NON-AGRICULTURAL WORKERS DESCRIBED IN THE IMMIGRATION AND NATIONALITY ACT—[AMENDED]
16. The authority citation for part 503 continues to read as follows:
Authorit…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026
…9 U.S.C. 1132, 1135, and Secretary of Labor's Order 1-2011, 77 FR 1088 (Jan. 9, 2012). Section 2560.503-1 also issued under 29 U.S.C. 1133. Section 2560.502c-7 also issued under 29 U.S.C. 1132(c)(7). Section 2560.502c-4 also issued under 29 U.S.C. 1132(c)(4). Section 2560.502c-8 also issued under 29 U.S.C. 1132(c)(8).
…
80 FR 21928 — Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
tment is proposing that PTE 86-128 extend to a new covered transaction, for fiduciaries who sell mutual fund shares out of their own inventory (
i.e., acting as principals, rather than agents) to plans and IRAs and to receive commissions for doing so. This transaction is currently the subject of another exemption, PTE …
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
tionary authority or control with respect to IRAs could continue to rely on PTE 86-128, as long as they comply with all of the exemption's conditions. The Department is also proposing certain technical changes to the exemption, including deleting subsection IV(b)(1), and redesignating remaining sections as needed. The …
91 FR 9213 — Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors ERISAProposed Rules (FR)Proposed Feb 25, 2026
…9 U.S.C. 1132, 1135, and Secretary of Labor's Order 1-2011, 77 FR 1088 (Jan. 9, 2012). Section 2560.503-1 also issued under 29 U.S.C. 1133. Section 2560.502c-7 also issued under 29 U.S.C. 1132(c)(7). Section 2560.502c-4 also issued under 29 U.S.C. 1132(c)(4). Section 2560.502c-8 also issued under 29 U.S.C. 1132(c)(8).
…