ERISACourt RulingsJun 26, 2013★ strong match
…by January 30, 2013, I
consider it to be an undisputed fact.
- 5 -
Undisputed Facts Relevant to the 2007 Plan Year
16. Plan 001 had in excess of 100 participants during the 2007 plan year.
17. HOE filed the 2007 annual report on October 15, 2008, but the report did not include
the required IQPA report. (CX 10).
18. On …
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016
Act of 1977
Penalty Conversion Table
30 CFR 100.3(G)
2007
72 FR 13592
112
60,000
112
70,000
127
68,300.
MSHA
Federal Mine Safety & Health Act of 1977 Minimum Penalty for any order issued under 104(d)(1) of the Mine Act
30 CFR 100.4(a)
2007
72 FR 13592
2,000
2,000
2,277
MSHA
Federal Mine Safety & Health Act of 1977
Min…
76 FR 66136 — Investment Advice-Participants and Beneficiaries ERISAFinal Rules (FR)Oct 25, 2011
….,
Profit Sharing/401(k) Council of America,
50th Annual Survey of Profit Sharing and 401(k) Plans
(2007); and Julie Agnew, Personalized Retirement Advice and Managed Accounts: Who Uses Them and How Does Advice Affect Behavior in 401(k) Plans?,
Center for Retirement Research Working Paper 2006-9 (2006).
Back to Citatio…
81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016★ strong match
ng after December 31, 2007.
2. Part III, Line 17, determined as if PPA provisions were effective for all plan years beginning after December 31, 2007. 3. Part V, determined as if PPA provisions were effective for all plan years beginning after December 31, 2007.
4. If the minimum required contribution for any year was …
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, 2024related by meaning
burden for this new condition because it is expected to be de minimis and included in other notices sent to the Department.
G. Paperwork Reduction Act In accordance with the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3506(c)(2)(A)), the Department solicited comments concerning the information collection requireme…
87 FR 56912 — Initial Regulatory Flexibility Analysis for Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) ERISAProposed Rules (FR)Proposed Sep 16, 2022related by meaning
the agreement to each client Plan. Including mailing costs, the total estimated cost of this requirement amounts to approximately $220 per entity.[20] Ineligibility Due to Foreign Convictions—Subsection I(g)(3)(A) and Subsection VI(r)(2)
The Department and QPAMs have treated foreign convictions as causing ineligibility…
DOL Office of Administrative Law Judges — USDOL, EMPLOYEE BENEFITS SECURITY ADMINISTRATION v. PLAN ADMINISTRATOR, WHITE MOUNTAIN APACHE TRIBE RETIREMENT SAVINGS AND 401(K) PROFIT SHARING PLAN ANNUAL RE… ERISACourt RulingsNov 30, 2016★ strong match
7, 2016, Respondent filed a Reply in Support of Cross Motion.
On June 1, 2016, I held a telephone conference with the parties seeking clarification of record support for one statement included in EBSA‟s Statement of Undisputed Facts and one
statement in EBSA‟s Response in Opposition to Respondent‟s Cross - Motion for S…
ERISACourt RulingsJan 26, 2012related by meaning
easonable Cause ("NOD") dated September 15, 2008, DOL stated that it
had reviewed the representations made in the
SRC and determined that there was no reasonable cause to waive the penalty, in part, because an
IQPA report and amended
Form
5500 were not submitted in response to the Notice oflntent to Assess a Penalty.
D…
76 FR 76222 — Filings Required of Multiple Employer Welfare Arrangements and Certain Other Related Entities ERISAProposed Rules (FR)Proposed Dec 6, 2011★ strong match
eating serious inconsistency or otherwise interfering with an action taken or planned by another agency; (3) materially altering
( printed page 76227) the budgetary impacts of entitlement grants, user fees, or loan programs or the rights and obligations of recipients thereof; or (4) raising novel legal or policy issues…
ERISACourt RulingsJul 19, 2011★ strong match
…hibeault. The first exhibit
contained the Annual Ret urn/Report of Employee Benefits Plan for 2006, 2007, and 2008,
the IQP As for each year, and a screen print from the DOL website indicating submission of
the completed Annual Reports for each plan year with corresponding IQPAs. The second
1
In the case of U.S. Depart…
90 FR 28007 — Selection of Annuity Providers-Safe Harbor for Individual Account Plans ERISAFinal Rules (FR)Jul 1, 2025related by meaning
Accordingly, the Department has concluded that it is not necessary to prepare a Family Policymaking Assessment.
H. Review Under Executive Order 12630 Pursuant to E.O. 12630, “Governmental Actions and Interference with Constitutionally Protected Property Rights,” 53 FR 8859 (March 18, 1988), the Department has determin…
75 FR 41600 — Reasonable Contract or Arrangement Under Section 408(b)(2)-Fee Disclosure ERISAFinal Rules (FR)Jul 16, 2010
…fits of Brokers in the Mutual Fund Industry, Social Science Research Network Abstract 616981 (Sept. 2007). Mercer Bullard
et al.,
Investor Timing and Fund Distribution Channels, Social Science Research Network Abstract 1070545 (Dec. 2007). Xinge Zhao, The Role of Brokers and Financial Advisors Behind Investment Into Lo…
ERISAFinal Rules (FR)Apr 8, 2016
…certain bank activities); Regulation R, Securities Exchange Act Release No. 34-56501 (September 24, 2007), 72 FR 56514 (Oct. 3, 2007),
www.sec.gov/rules/final/2007/34-56501.pdf
and Securities Exchange Act Release No. 34-56502 (Sept. 24, 2007) 72 FR 56562 (Oct. 3, 2007),
www.sec.gov/rule/final/2007/34-56502.pdf;…
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…
81 FR 44773 — Best Interest Contract Exemption; Correction ERISAFinal Rules (FR)Jul 11, 2016related by meaning
ter the analysis and data contained in the RIA applicable to the rulemaking, including the assessment of its costs and benefits.
Executive Order 12866 Under Executive Order 12866, “significant” regulatory actions are subject to the requirements of the Executive Order and review by the OMB. Section 3(f) of Executive Ord…
ERISACourt RulingsNov 8, 1996related by meaning
erial of fact is
found to have been raised, the administrative law judge may issue a
decision which . . . shall become a final order." In light of the foregoing, Respondent's withdrawal of its request for hearing is
hereby GRANTED and this matter is hereby DISMISSED.
JOHN M. VITTONE
Chief Administrative Law
Judge
Washi…
89 FR 23090 — Amendment to Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) ERISAFinal Rules (FR)Apr 3, 2024related by meaning
ctions and consistent with the Department's statutorily mandated focus on the protection of Plans in ERISA section 408(a) and Code section 4975(c)(2). The Department stated that in situations where a crime raises particularly unique issues related to the substantial equivalence of the foreign Criminal Conviction, the Q…
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
rinciples set forth in the Executive order. OMB has determined that this amendment is a significant regulatory action under Executive Order 12866.[12] Executive Order 13563 directs agencies to propose or adopt a regulation only upon a reasoned determination that its benefits justify its costs; the regulation is tailore…
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024related by meaning
al Amendment, notice and an opportunity to comment on such guidance would be provided to the public, consistent with the Administrative Procedure Act. Finally, several commenters objected to the Office of Management and Budget (OMB) and the Department's determination that the rule was not “significant” for purposes of …
ERISACourt RulingsMay 28, 2014related by meaning
asonable Cause Committee’s decision, Ms. Olivera drafted a
Notice of Determination (“NOD”), which her team leader reviewed and approved. TR at 65. The NOD and case file were then given to EBSA’s Chief Accountant, Ian Dingwa ll, who signed and
issued the NOD on September 4, 2012. Id. ; CX 11 at 1-4; RX I at 1-4. The NOD…