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1. 76 FR 76235 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements
   ERISAProposed Rules (FR)Proposed Dec 6, 2011★ strong match
   …e and desist ( printed page 76240) order becomes final agency action within the meaning of 5 U.S.C. 704. With respect to consent orders or settlements, proposed section 2571.6 provides that the ALJ's decision shall include the terms and conditions of any consent order or settlement which has been agreed to by the parti…
2. 78 FR 13797 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements
   ERISAFinal Rules (FR)Mar 1, 2013★ strong match
   …nt to §§ 2571.10 through 2571.12, shall become a final agency action within the meaning of 5 U.S.C. 704. (b) A decision made under this section, shall include a statement of: (1) Findings of fact and conclusions of law, and the reasons thereof, on all issues presented; and (2) Any terms and conditions of the ruling. (c…
3. 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. Back to Citation 19.  Code section 4975(c)(2). Back to Citation 20.  Angela A. Hung, Noreen Clancy, Jeff Dominitz, Eric Talley, Claude Berrebi, Farrukh Suvankulov, Investor and Industry Perspectives on Investment Advisers and Broker-Deal…
4. 75 FR 8796 — Civil Penalties Under ERISA Section 502(c)(8)
   ERISAFinal Rules (FR)Feb 26, 2010★ strong match
   tion within the meaning of 5 U.S.C. 704 unless an appeal is made pursuant to the procedures set forth in §§ 2570.169 through 2570.171 of this subpart. ( printed page 8804) § 2570.169 Review by the Secretary. (a) The Secretary may review a decision of an administrative law judge. Such a review may occur only when a part…
5. 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
   s) earned in connection 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). Back to Citation 9.  This proposal would move the definitions from Section I to Section VII. The other sections are re-ordered…
6. 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
   nancial institution, an insurance company, or a broker-dealer. Back to Citation 8.  Cerulli Associates, “Retirement Markets 2015.” Back to Citation 9.  The Department initially proposed an amendment to its regulation defining a fiduciary within the meaning of ERISA section 3(21)(A)(ii) and Code section 4975(e)(3)(B) on…
7. 89 FR 43675 — Prohibited Transaction Exemption 2006-06 for Services Provided in Connection With the Termination of Abandoned Individual Account Plans
   ERISAFinal Rules (FR)May 17, 2024
   …y trustee's authority to terminate and wind up the plan was addressed by the enactment of 11 U.S.C. 704(a)(11) as part of the Bankruptcy Abuse Prevention and Consumer Protection Act of 2005.[10] Under that provision, when an entity that sponsors an individual account plan is liquidated under chapter 7 of the Bankruptcy…
8. 89 FR 43636 — Abandoned Plan Regulations
   ERISAFinal Rules (FR)May 17, 2024
    One commenter argued that § 704(a)(11) does not make the chapter 7 bankruptcy trustee the plan administrator but rather requires it to “perform the obligation required of the administrator[.]” In this circumstance, the Department does not believe there is a meaningful distinction between the two. The Bankruptcy Abuse …
9. 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
   such Regional Office. The Model Notice to Interested Persons contained in the Appendix may be used to satisfy the written notice ( printed page 70758) requirement contained in this Section IV. B. The notice to interested persons described in Section IV.A. was given in a manner that was reasonably calculated, taking int…
10. 77 FR 5632 — Reasonable Contract or Arrangement Under Section 408(b)(2)-Fee Disclosure
    ERISAFinal Rules (FR)Feb 3, 2012★ strong match
    efinitions related to plans subject to the prohibited transaction and excise tax provisions in Code section 4975. See Code section 4975(e)(1) and (g). Back to Citation 37.
11. 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
    C. Notwithstanding the foregoing and solely with respect to applicants seeking relief with respect to the VFC Program other than through the SCC, section IV.A. and IV.B. shall not apply to a transaction described in section I.A., provided that: (1) the applicant under the VFC Program has met all of the other applicable…
12. DOL Office of Administrative Law Judges — USDOL, EMPLOYEE BENEFITS SECURITY ADMINISTRATION v. PLAN ADMINISTRATOR, CAVALLO POINT LODGE 401(K) PLAN
    ERISACourt RulingsNov 10, 2015
    …time limits. Such a final order shall constitute final agency action within the meaning of 5 U.S.C. 704. Therefore, this tribunal cannot evaluate Respondent‟s contentions that the penalty is inequitable,
13. 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
    on, at 26 CFR 54.4975-9(c), which interprets Code section 4975(e)(3). Back to Citation 6.  Advisory Opinion 76-65A (June 7, 1976). Back to Citation 7.  The Department initially proposed an amendment to its regulation under ERISA section 3(21)(A)(ii) and Code section 4975(e)(3)(B) on October 22, 2010, at 75 FR 65263. It…
14. DOL Office of Administrative Law Judges — UNITED STATES DEPARTMENT OF LABOR, PENSION AND WELFARE BENEFITS ADMINISTRATION v. T. W. TAGGART
    ERISACourt RulingsAug 25, 1995
    …e decision of this Court shall become the final agency action within the meaning of 5 U.S.C Section 704. ERISA §3(14)(A), 29 U.S.C. § 1002(14)(D) defines a "party-in-interest" for the purpose of section 502(i) to include a fiduciary. I find that because Respondent Taggart was a fiduciary of MPEHA, he was also a party-i…
15. 29 C.F.R. § 2570.113 — Parties, how designated.
    ERISARegulationsJan 1, 2017related by meaning
    For 502(c)(6) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
16. 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
    the writer's interest in the proposal. Comments received will be available for public inspection at the above address. Proposed Amendment to PTE 84-24 Under section 408(a) of the Employee Retirement Income Security Act of 1974, as amended (ERISA) and section 4975(c)(2) of the Internal Revenue Code of 1986, as amended (…
17. 89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary
    ERISAFinal Rules (FR)Apr 25, 2024
    … doing so is not required under Regulation Best Interest or the Advisers ( printed page 32228) Act.[704]
18. 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 …
19. 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
    …ecision of this decision shall become the final agency action within the meaning of 5 U.S.C Section 704. [ENDNOTES] 1Sometimes also referred to as the "Fund" or "Trust Fund." 2Pension plans provide retirement income or defer income until the employee terminates employment. ERISA § 3(2). Welfare plans provide medical be…
20. DOL Office of Administrative Law Judges — USDOL, EBSA v. PLAN ADMINISTRATOR, HOME OF ECONOMY 401(K) PLAN, HOME OF ECONOMY, INC.
    ERISACourt RulingsJun 26, 2013
    …ion and Order or this decision will become the final agency action within the meaning of 5 U.S.C. § 704. A notice of appeal should be filed with: Director of the Office of Policy and Research Employee Benefits Security Administration 200 Constitution Ave, NW, Ste N - 571 8 Washington, DC 20210 See Secretary's Order 1-2…