81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016★ strong match
…04-191, 110 Stat. 1936 (Aug. 21, 1996); Title I of the Genetic Information Nondiscrimination Act of 2008, Public Law 110-233, 122 Stat. 881 (May 21, 2008); the Mental Health Parity Act of 1996, Public Law 104-204, 110 Stat. 2944 (Sept. 26, 1996) and the Mental Health Parity and Addiction Equity Act of 2008, Public Law …
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016★ strong match
…genetic information—daily per participant and beneficiary non-compliance period
29 CFR 2575.2(j)(1)
2008
Pub. L. 110-233
100
100
110.
EBSA
Employee Retirement Income Security Act
Section 502(c)(10)—uncorrected de minimis violation
29 CFR 2575.2(j)(2)
2008
Pub. L. 110-233
2,500
2,500
2,745
EBSA
Employee Retirement Incom…
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
epartment assumes that notices sent by mail will require two pages of paper each, resulting in a material and postage cost of approximately $374.[147] The Department believes the cost of sending this notice to the Department will be negligible since the QPAM will already prepare and send the notice to their client Plan…
ERISACourt RulingsJun 26, 2013★ strong match
…e referred to as “RX.”
3
See 29 C.F.R. § 18.6(b).
- 4 -
8. HOE failed to respond to the January 15, 2008, and March 11, 2008, letters.
9. On October 27, 2008, EBSA issued a Notice of Rejection (“NOR”) of HOE’s annual
report for plan year 2006. The NOR informed HOE of its failure to file the IQPA
report and stated, “ YO…
86 FR 57272 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAProposed Rules (FR)Proposed Oct 14, 2021
ting initiatives. IB 2008-02 stated that fiduciaries' responsibility for managing proxies includes both deciding to vote and deciding not to vote.[20] IB 2008-02 further stated that the fiduciary duties described at ERISA sections 404(a)(1)(A) and (B) require that in voting proxies the responsible fiduciary shall consi…
ERISACourt RulingsJan 26, 2012★ strong match
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…
87 FR 73822 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAFinal Rules (FR)Dec 1, 2022
ting initiatives. IB 2008-02 stated that fiduciaries' responsibility for managing proxies includes both deciding to vote and deciding not to vote.[29] IB 2008-02 further stated that the fiduciary duties described at ERISA sections 404(a)(1)(A) and (B) require that, in voting proxies, the responsible fiduciary shall con…
88 FR 87968 — Definition of “Employer”-Association Health Plans ERISAProposed Rules (FR)Proposed Dec 20, 2023related by meaning
sts. The Department seeks comments on this assumption and any costs interested parties anticipate related to this proposal.
V. Paperwork Reduction Act The 2018 AHP Rule was not subject to the requirements of the Paperwork Reduction Act of 1995 [83]
because it did not contain a collection of information as defined in 44…
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
he Administrative Procedure Act, or any other law, and are likely to have a significant economic impact on a substantial number of small entities.[14] Pursuant to section 605 of the RFA, the Department certifies that these proposed amendments to PTE 2002-51 will not have a significant economic impact on a substantial n…
ERISADOL Technical ReleasesJun 22, 2011related by meaning
act directly with IROs and may, instead, rely on contracts with TPAs. That FAQ guidance is not modified in any way by this technical release.
Appendix Revised Model Notice of Adverse Benefit Determination
Revised Model Notice of Final Internal Adverse Benefit Determination
Revised Model Notice of Final External Review …
76 FR 18649 — Technical Revisions to Actuarial Information on Form 5500 Annual Return/Report for Pension Plans Electing Funding Alternatives Under Pension Relief Act of 2010 ERISAFinal Rules (FR)Apr 5, 2011related by meaning
…53(d). Accordingly, the adoption of the technical changes affecting the actuarial schedules for the 2008, 2009, and 2010 Form 5500 Annual Return/Report will be effective as of the date of publication in the
Federal Register
. Related information also will be required to be provided on the 2011 and later Form 5500 Annua…
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…
90 FR 4192 — Voluntary Fiduciary Correction Program ERISAFinal Rules (FR)Jan 15, 2025related by meaning
lection of information unless it displays a currently valid OMB Control Number.
Signed at Washington, DC, this 3rd day of January 2025.
Lisa M. Gomez, Assistant Secretary, Employee Benefits Security Administration, U.S. Department of Labor.
Footnotes
1.
Under Reorganization Plan No. 4 of 1978, 5 U.S.C. App., the autho…
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…
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…
85 FR 55219 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAProposed Rules (FR)Proposed Sep 4, 2020
d proxy voting initiatives. IB 2008-02 stated that fiduciaries' responsibility for managing proxies includes both deciding to vote or not to vote.[16] IB 2008-02 further stated that the fiduciary duties described at ERISA sections 404(a)(1)(A) and (B) require that in voting proxies the responsible fiduciary shall consi…
87 FR 45204 — Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) ERISAProposed Rules (FR)Proposed Jul 27, 2022related by meaning
garding these costs. The Department welcomes comments that would provide data to assist in calculating an estimate.
Notice to Plans—Subsection I(j)(1) Within 30 days after the conviction date, the QPAM must provide notice to the Department at
QPAM@dol.gov
82 FR 7336 — Proposed Best Interest Contract Exemption for Insurance Intermediaries ERISAProposed Rules (FR)Proposed Jan 19, 2017
… Secure Retirement Institute.[52]
Table 1 shows the shares of FIA sales by distribution channel for 2008-2015. In 2015, approximately 63% of FIAs, $34.1 billion, were sold through the independent agent distribution channel.[53]
FIA sales through banks and broker-dealers (BDs) have been trending upward over time. In 200…
81 FR 95879 — Interpretive Bulletin Relating to the Exercise of Shareholder Rights and Written Statements of Investment Policy, Including Proxy Voting Policies or Guidelines ERISAFinal Rules (FR)Dec 29, 2016
…lace practices and financial and non-financial measures of corporate performance.[2] On October 17, 2008, the Department replaced IB 94-2 with Interpretive Bulletin 2008-2 codified at 29 CFR 2509.08-2.[3]
The Department's intent was to clarify and update the guidance in IB 94-2 and to reflect interpretive positions iss…
85 FR 81658 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAFinal Rules (FR)Dec 16, 2020
…age 81659)
economic interests of participants and beneficiaries to unrelated objectives. In October 2008, the Department replaced IB 94-2 with Interpretive Bulletin 2008-02 (IB 2008-02).[9]
The Department's intent was to update the guidance in IB 94-2 and to reflect interpretive positions issued by the Department after…