75 FR 8796 — Civil Penalties Under ERISA Section 502(c)(8) ERISAFinal Rules (FR)Feb 26, 2010★ strong match
502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.57 of this title.
(a)
Proposed findings of fact, conclusions, and order. Within twenty (20) days of the filing of the transcript of the testimony, or such additional time as the administrative law judge may allow, each party may file with the…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
… Final
$37.5 million
$28.9 million
$21.2million.
Comment Letter from Financial Services Institute 458
$2.8 billion
$2.5 billion
$2.5 billion.
PTE 2020-02
Department of Labor: Final
$248.1 million
$165.5 million
$176.5 million.
Department of Labor: NPRM
$231.5 million
$197.3 million
$201.9 million.
Comment Letter …
87 FR 70753 — Prohibited Transaction Exemption (PTE) 2002-51 To Permit Certain Transactions Identified in the Voluntary Fiduciary Correction Program ERISAProposed Rules (FR)Proposed Nov 21, 2022related by meaning
an]. If the terms of the class exemption are met, [Insert Name of Applicant] will qualify for relief from the excise taxes that would otherwise apply. One of the requirements for excise tax relief is for [Insert Name of Applicant] to provide you with this notice so you have an opportunity to provide comments to EBSA ab…
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
atio = 1.47 × (1,400,000/10,509,091) = 0.196 = 19.6 percent.
Proposed Revocation of Parts I(b), I(c) and II(2) of PTE 75-1 and Restatement of PTE 75-1 The Department is proposing to revoke Parts I(b), I(c) and II(2) of PTE 75-1. In connection with the proposed revocation of Part II(2), the Department is republishing Pa…
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
ent advice, as defined under ERISA and in a proposed regulation issued by the Department that is found elsewhere in this issue of the
Federal Register , from the covered transactions in each exemption and make certain other administrative changes. The Department is proposing these amendments on its own motion, pursuant…
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
…ir benefits, robo-advisors will not be on the phone providing counsel if there is a market crash?” [458]
85 FR 55219 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAProposed Rules (FR)Proposed Sep 4, 2020
…f using
permitted practices
(A)
(B)
(C)
(D)
(E)
(F)
(G)
(H)
(I)
Providers: PP
1,988
8,020
139,973,458
3,499,336
233,289
$409,291,139
$25,751,617
$435,042,756
Providers: Non-PP
1,988
8,020
8,303,510
830,351
27,678
97,119,931
3,055,277
100,175,208
100,175,208
Total
1,988
148,276,968
4,329,687
260,967
506,411,070
28,806…
87 FR 73822 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAFinal Rules (FR)Dec 1, 2022
…nvestments and hold corporate stock, directly or through ERISA-covered intermediaries
Total
135,407,458
0
1,302.29
0.00
This cost estimate differs from the cost estimate in the NPRM in several ways. First, paragraph (c)(3) of the NPRM included a disclosure requirement when collateral benefits were used in a tiebreaker.…
ERISAProposed Rules (FR)Proposed Jul 21, 2016
5 or Fewer
0.088
0.091
178,694
6-10
0.084
0.087
105,458
11-25
0.067
0.070
139,971
26-50
0.040
0.041
86,936
51-75
0.022
0.023
38,822
76-90
0.018
0.018 14,491
90-99
0.016
0.016
6,341
Defined Benefit Pension—Not Eligible for 5500-SF:
5 or Fewer
0.002
0.003
566
6-10
0.050
0.086
82
11-25
0.041
0.069
60
26-50
0.016
0.027
40…
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
upremacy when the two regimes cannot be harmonized or accommodated”).
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50.
See BancOklahoma Mortg. Corp.
v.
Capital Title Co., Inc., 194 F.3d 1089 (10th Cir. 1999) (stating that McCarran-Ferguson Act bars the application of a federal statute only if (1) the federal statute does not specifically relate…
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…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.57 of this title.
78 FR 13797 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements ERISAFinal Rules (FR)Mar 1, 2013related by meaning
ministration and other fiduciary activities, and not to communications made or documents prepared to aid the fiduciary personally or for settlor acts. See Solis
v.
The Food Employers Labor Relations Ass'n,
644 F.3d 221 (4th Cir. 2011). This provision should not be
( printed page 13802)
interpreted as excluding consider…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.14 of this title.
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(8) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
89 FR 5624 — Automatic Portability Transaction Regulations ERISAProposed Rules (FR)Proposed Jan 29, 2024
…ailed notices, and that the remainder will receive notices electronically, resulting in roughly 665,458 fewer notices in the first year and on average 605,806 fewer in subsequent years being mailed. since the initial enrollment notice provides an opportunity for RCH/PSN to consolidate two notices into one. This reducti…
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026
….101-5 also issued under sec. 501 of Pub. L. 109-280, 120 Stat. 780, and sec. 105(a) of Pub. L. 110-458, 122 Stat. 5092. Sec. 2520.101-6 also issued under 29 U.S.C. 1021(k). Secs. 2520.102-3, 2520.104b-1, 2520.104b-3, and 2520.104b-31 also issued under 29 U.S.C. 1003, 1181-1183, 1181 note, 1185, 1185a-b, 1191, and 1191…
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(6) civil penalty proceedings, this section shall apply in lieu of § 18.57 of this title.
ERISACourt RulingsAug 31, 2026
… s the application of the abuse of
discretion standard. See Abatie v. Alta Health & Life Ins. Co. , 458 F.3d
955, 967 (9th Cir. 2006) (en banc) ; Montour v. Hartford Life & Acc. Ins.
Co. , 588 F.3d 623, 631 (9th Cir. 2009). On remand, Liu may raise th is
issue, if appropriate. We express no views on this issue.
ERISARegulationsJan 1, 2017related by meaning
For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of § 18.57 of this title.