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
…ction with the transactions covered by the exemption.
Back to Citation
7.
67 FR 64137 (October 17, 2002).
Back to Citation
8.
See Advisory Opinion 2011-08A (June 21, 2011).
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9.
This proposal would move the definitions from Section I to Section VII. The other sections are re-ordered accordingly. Addi…
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
…ers, RAND Institute for Civil Justice, commissioned by the U.S. Securities and Exchange Commission, 2008, at
http://www.sec.gov/news/press/2008/2008-1_randiabdreport.pdf.
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21.
Relief was not proposed in the new Section I(b) for sales by a plan or IRA to a fiduciary due to the Department's belief t…
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
…$159.34 = $1,671,795.
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503. The burden is estimated as: (215 insurance companies + 200 independent producers) × (10 minutes ÷ 60 minutes) = 69 hours. A labor rate of approximately $159.34 is used for a legal professional. The labor rate is applied in the following calculation: [(215 insurance companies…
89 FR 32346 — Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
ding that it is meant to be an average, blended, or typical rate from a verifiable and repeatable source.
Removal of Investment Advice and PTE 2020-02 The Department is amending PTE 77-4, PTE 75-1, PTE 80-83, PTE 83-1, and PTE 86-128, to remove relief in those exemptions for the receipt of compensation as a result of t…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
-02] + (200 robo-advisers + 31 non-bank trustees)} × 10% ≉ 123 Financial Institutions. Note: Due to rounding values may not sum.
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715. This is estimated as: {[(1,920 broker-dealers + 84 insurers + 8,035 SEC-registered investment advisers + 8,363 State-registered investment advisers) × 30% that are newl…
80 FR 22004 — Proposed Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Em… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
…elief provided by PTE 75-1 because it was issued jointly by the Department and the Service.
See
PTE 2002-13, 67 FR 9483 (March 1, 2002) (preamble discussion). For simplicity and consistency with the other new proposed exemptions and proposed amendments to other existing exemptions published elsewhere in
this issue of t…
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
taining the information required by IRS Form 5330 and proof of payment with the submission of the application to the appropriate EBSA Regional Office. For the sole purpose of determining whether the excise tax due under Code section 4975 on the “amount involved” with respect to the prohibited transaction involving the …
90 FR 3667 — Prohibited Transaction Exemption (PTE) 2002-51 To Permit Certain Transactions Identified in the Voluntary Fiduciary Correction Program ERISAFinal Rules (FR)Jan 15, 2025related by meaning
taining the information required by IRS Form 5330 and proof of payment with the submission of the application to the appropriate EBSA Regional Office. For the sole purpose of determining whether the excise tax due under Code section 4975 on the “amount involved” with respect to the prohibited transaction involving the …
81 FR 21139 — Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Employee Be… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
…elief provided by PTE 75-1 because it was issued jointly by the Department and the Service.
See PTE 2002-13, 67 FR 9483 (March 1, 2002) (preamble discussion). For simplicity and consistency with the other new exemptions and amendments to other existing exemptions published elsewhere in this issue of the
Federal Registe…
88 FR 76004 — Proposed Amendment to Prohibited Transaction Exemption 84-24 ERISAProposed Rules (FR)Proposed Nov 3, 2023
…ce-exemption.pdf.
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55.
The burden is estimated as: {[(215 financial institutions + 200 Independent Producers) × (10 minutes)] ÷ 60 minutes} = 69 hours. A labor rate of approximately $159.34 is used for a legal professional. The labor rate is applied in the following calculation: {[(215 financial instit…
76 FR 76222 — Filings Required of Multiple Employer Welfare Arrangements and Certain Other Related Entities ERISAProposed Rules (FR)Proposed Dec 6, 2011
…
$0
Part I
$1,100
$1,100
$600
$400
$3,100
Part II
$12,800
$27,100
$6,600
$8,900
$55,400
Part III
$3,200
$3,400
$3,300
$2,200
$12,100
Total Time: Year 1
$29,800
$45,200
$17,200
$15,900
$108,100
Total Time: Subsequent Years
$17,100
$31,600
$10,500
$11,500
$70,700
Note:
The displayed numbers are rounded to the nearest hun…
75 FR 53172 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans ERISAProposed Rules (FR)Proposed Aug 30, 2010★ strong match
…n Determinations, Employee Benefits Security Administration, Room N-5700, U.S. Department of Labor, 200 Constitution Avenue, NW., Washington, DC 20210, Attention: Prohibited Transaction Exemption Procedures Proposed Regulation. All written responses will be available to the public, without charge, online at
http://www.…
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016
…r affected homeworker
Minor
Substantial
Repeated,
intentional
or knowing
Recordkeeping
$10-100
$100-200
$200-500
Monetary violations
$10-100
$100-200
Employment of homeworkers without a certificate
$100-200
$200-500
Other violations of statutes, regulations or employer assurances
$10-100
$100-200
$200-500
The maximum p…
77 FR 74063 — Amendments to the Abandoned Plan Regulations ERISAProposed Rules (FR)Proposed Dec 12, 2012
…Plan Sponsor
$0
$5,500
$0
$5,500
Notice to DOL
8,700
17,300
0
26,000
Bankrupt Plans (Court Order)
3,200
0
0
3,200
Notice to Participants
3,600
7,200
0
10,700
Final Notice
3,300
6,700
0
10,000
Bankrupt Plans (Fiduciary Breach)
600
0
0
600
Form 5500 Terminal Report
35,600
71,200
0
106,800
Safe Harbor
0
0
4,480,000
4,480,…
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026
…ck to Citation
13.
26 CFR 54.9815-2715(a)(4)(ii)(A), 29 CFR 2590.715-2715(a)(4)(ii)(A), 45 CFR 147.200(a)(4)(ii)(A).
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14. 26 CFR 54.9815-2715(a)(4)(ii)(B), 29 CFR 2590.715-2715(a)(4)(ii)(B), 45 CFR 147.200(a)(4)(ii)(B).
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15.
85 FR 72158 (Nov. 12, 2020).
See also
On December 23, 2025, …
ERISADOL Technical ReleasesAug 31, 2012
employees after they have completed a cumulative 1,200 hours of service. D satisfies the plan's cumulative hours of service condition on December 15. (ii) Conclusion. In this Example 4, the cumulative hours of service condition with respect to part-time employees is not considered to be designed to avoid compliance wi…
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
…”
Back to Citation
6.
ERISA section 409;
see also
ERISA section 405.
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7.
See
PTE 2002-13, 67 FR 9483 (March 1, 2002) (preamble discussion of certain exemptions, including PTE 84-24, that apply to plans described in Code section 4975).
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8.
See
PTE 77-9, 42 FR 32395 (June 24, 1977) (p…
80 FR 21928 — Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice ERISAProposed Rules (FR)Proposed Apr 20, 2015
…ts Security Administration, Attn: Conflict of Interest Rule, Room N-5655, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Hand Delivery/Courier:
Office of Regulations and Interpretations, Employee Benefits Security Administration, Attn: Conflict of Interest Rule, Room N-5655, U.S. Departmen…
81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016
…ation, Attn: RIN 1210-AB63; Annual Reporting and Disclosure, Room N-5655, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Hand Delivery/Courier:
Office of Regulations and Interpretations, Employee Benefits Security Administration, Attn: RIN 1210-AB63; Annual Reporting and Disclosure, Room N…