ERISACourt RulingsJun 26, 2013★ strong match
…E of its option to file an Answer contesting the
penalty. (CX 16).
Undisputed Facts Relevant to the 2009 Plan Year
24. Plan 001 had more than 100 participants at the beginning of the 2009 plan year.
25. HOE filed its 2009 annual report on October 15, 2010, without an IQPA report. (CX
17).
26. On November 28, 2011, EBSA…
ERISACourt RulingsMay 28, 2014★ strong match
…Mr. Wollheim worked for Morgan Stanley for
11.5 years before moving to Merri ll Lynch at the end of 2009. Id. When Mr. Wollheim moved to Merrill Lynch, most of the Golden Day Schools, Inc. assets transferred with him. Id.
Mr. Wollheim testified that in March or April 2011, Henry DeSpain contacted him about
certifying t…
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
ed revenue transfers promote the Department's objectives in issuing this amendment to the QPAM Exemption and enhance the security of Plan investments. In the Proposed Amendment, the Department requested comments on whether a QPAM's client Plans would be likely to move all or some of their assets to an alternative asset…
ERISACourt RulingsJan 26, 2012★ strong match
… filed a request for a hearing before an Administrative Law
Judge
("ALJ"). By letter dated April 8, 2009, while the matter was pending before the
ALJ, Dutch American filed a corrected Annual Report, including an
IQP A report, which
was accepted by
DOL.
Dutch American rectified its filing deficiencies more than six mont…
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024★ strong match
… Security Administration, U.S. Department of Labor.
Footnotes
1.
See
Secretary of Labor's Order 6-2009, 74 FR 21524 (May 7, 2009).
Back to Citation
2.
5 U.S.C. 8477(c)(3).
Back to Citation
3.
See
Secretary of Labor's Order 6-2009, 74 FR 21524 (May 7, 2009).
Back to Citation
4.
76 FR 66637 (October 27, 2011).
Back…
81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016★ strong match
ble guidance), even if that AFTAP is not used to apply the restrictions under Code section 436 and ERISA section 206(g) until the following plan year. If the AFTAP reported on Line 18 does not correspond to the valuation results reported on this Schedule SB (for instance, if any adjustments pertaining to the plan year …
75 FR 9360 — Investment Advice-Participants and Beneficiaries ERISAProposed Rules (FR)Proposed Mar 2, 2010
tional relief. As published, these rules were to be effective on March 23, 2009. On February 4, 2009, the Department published in the
Federal Register (74 FR 6007) an invitation for public comment on a proposed 60 day extension of the effective dates of the final rules in order to afford the Agency the opportunity to r…
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…
80 FR 5626 — Annual Funding Notice for Defined Benefit Plans ERISAFinal Rules (FR)Feb 2, 2015★ strong match
…the PPA, the amendments to section 101(f) apply to plan years beginning after December 31, 2007.
In 2009, the Department issued Field Assistance Bulletin 2009-01 (FAB 2009-01) to provide interim guidance to plan administrators in discharging their obligations under the new annual funding notice requirements. FAB 2009-0…
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…
87 FR 14722 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAProposed Rules (FR)Proposed Mar 15, 2022★ strong match
… Security Administration, U.S. Department of Labor.
Footnotes
1.
See
Secretary of Labor's Order 6-2009, 74 FR 21524 (May 7, 2009).
Back to Citation
2.
5 U.S.C. 8477(c)(3).
Back to Citation
3.
See
Secretary of Labor's Order 6-2009, 74 FR 21524 (May 7, 2009).
Back to Citation
4.
76 FR 66637 (October 27, 2011).
Back…
91 FR 16088 — Fiduciary Duties in Selecting Designated Investment Alternatives ERISAProposed Rules (FR)Proposed Mar 31, 2026
…track the returns of a market index) generally outperformed actively managed funds. No. 3:06CV1494, 2009 WL 535779 (D. Conn. Mar. 3, 2009),
aff'd,
354 F. App'x 525 (2d Cir. 2009).
It is not surprising that ERISA contains no categorical restrictions on investment type. When Congress enacted ERISA, it did not require emp…
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
… en after a civil penalty is assessed. U.S. Dep ’t of Labor, EBSA v. P.E.C.
Contracting Engineers , 2009 - RIS - 00080 (ALJ Nov. 15, 2010); U.S. Dep’ t of Labor, EBSA v.
Dutch American Import Co. , 2009 - RIS - 14 (ALJ Jan. 6, 2010). Here, to date WMAT has not
filed a compliant annual report for the Plan year ended Apr…
77 FR 41678 — Amendment Relating to Reasonable Contract or Arrangement Under Section 408(b)(2)-Fee Disclosure/Web Page ERISAFinal Rules (FR)Jul 16, 2012★ strong match
of the Executive Order and therefore is not subject to review by OMB.
2. Regulatory Flexibility Analysis
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) (RFA) imposes certain requirements with respect to Federal rules that are subject to the notice and comment requirements of section 553(b) of the APA (5 U.S.C. …
76 FR 76235 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements ERISAProposed Rules (FR)Proposed Dec 6, 2011related by meaning
reatest number of MEWAs likely to petition for an administrative hearing (4.2 percent) represents a small fraction of the total number of small MEWAs. Accordingly, the Department hereby certifies that these proposed regulations will not have a significant economic impact on a substantial number of small entities and in…
75 FR 8796 — Civil Penalties Under ERISA Section 502(c)(8) ERISAFinal Rules (FR)Feb 26, 2010
…ay, for its first plan year beginning during the period from October 1, 2008, through September 30, 2009, elect to keep its status for the plan year preceding such plan year for purposes of section 305 of ERISA and section 432 of the Code. For example, a plan that was not in endangered status for 2008 may elect to keep…
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 RulingsOct 16, 1996related by meaning
aw the hearing is
APPROVED and this matter is hereby DISMISSED.
JOHN M. VITTONE
Chief Administrative Law
Judge
Washington, DC
JMV/CY/jsp
UNITED STATES DEPARTMENT OF LABOR
United States Department of Labor
Office of Administrative Law Judges
800 K St NW
Washington, DC 20001
(202) 693-7300
www.oalj.dol.gov
FEDERAL GOVERN…
85 FR 40589 — Conflict of Interest Rule-Retirement Investment Advice: Notice of Court Vacatur ERISAFinal Rules (FR)Jul 7, 2020related by meaning
aries, a related class exemption proposal that was not finalized.[3]
EBSA's website will reflect all of these changes.[4]
Procedural and Other Matters Section 553 of the Administrative Procedure Act, 5 U.S.C. 553(b)(3)(B), provides that when an agency for good cause finds that notice and public procedures are impractic…
75 FR 70625 — Annual Funding Notice for Defined Benefit Plans ERISAProposed Rules (FR)Proposed Nov 18, 2010
…ndments to section 101(f) apply to plan years beginning after December 31, 2007.[2] On February 10, 2009, the Department issued Field Assistance Bulletin 2009-01 (FAB 2009-01) as interim guidance under section 101(f) of ERISA in order to assist plan administrators in discharging their obligations under the new annual f…