80 FR 5626 — Annual Funding Notice for Defined Benefit Plans ERISAFinal Rules (FR)Feb 2, 2015related by meaning
…ulations as a material effect event taking effect in 2018 (
i.e.,
the current plan year).
(h)
Model notices. (1) The appendices to this section contain a model notice for single-employer plans and a model notice for multiemployer plans. These models are intended to assist plan administrators in discharging their notice…
91 FR 9213 — Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors ERISAProposed Rules (FR)Proposed Feb 25, 2026★ strong match
…y continue to receive electronic disclosure under the 2002 safe harbor in the future. Regarding the 2020 safe harbor, the Department assumes that all plans that provided electronic disclosure prior to SECURE 2.0 will continue to use the 2020 safe harbor for some or all their participants. It should be noted that some p…
75 FR 70625 — Annual Funding Notice for Defined Benefit Plans ERISAProposed Rules (FR)Proposed Nov 18, 2010related by meaning
…n the Schedule H) to stating the asset allocation of a plan's investments as of the last day of the notice year provides sufficient information to participants regarding the plan's investments, or whether there is a more effective way of communicating this required information in the funding notice, and if so, how.
f. …
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024
…nizes that the rulemaking may change the number of Financial Institutions who choose to rely on PTE 2020-02. Consistent with its initial analysis in 2020, the proposal assumed that all entities eligible to rely on the existing PTE 2020-02 were relying on it. However, one commenter indicated that some entities eligible …
91 FR 13503 — Retirement Security Rule: Definition of an Investment Advice Fiduciary: Notice of Court Vacatur ERISAFinal Rules (FR)Mar 20, 2026
of Texas also stayed the effective date of the amendments to PTE 2020-02.[3]
( printed page 13504)
2. Litigation Related to Five-Part Test Regulation On December 18, 2020, the Department adopted PTE 2020-02, a prohibited transaction exemption under ERISA and the Code, permitting investment advice fiduciaries with resp…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024
…nizes that the rulemaking may change the number of Financial Institutions who choose to rely on PTE 2020-02. Consistent with its initial analysis in 2020, the proposal assumed that all entities eligible to rely on the existing PTE 2020-02 were relying on it. However, one commenter indicated that some entities eligible …
ERISADOL Technical ReleasesMay 8, 2013related by meaning
timing for distribution of notices will be the late summer or fall of 2013, which will coordinate with the open enrollment period for the Marketplace. The Department is issuing this temporary guidance and model notice in advance of the expected timeframe announced in the guidance because, since the issuance of the guid…
87 FR 73822 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAFinal Rules (FR)Dec 1, 2022★ strong match
…tive Bulletin 2016-01, 81 FR 95879 (Dec. 29, 2016).
Back to Citation
6.
See 85 FR 39113 (June 30, 2020); 85 FR 55219 (Sept. 4, 2020).
Back to Citation
7.
See 85 FR 39116; 85 FR 55221.
Back to Citation
8.
85 FR 72846 (Nov. 13, 2020).
Back to Citation
9.
85 FR 81658 (Dec. 16, 2020).
Back to Citation
10.
86 FR 7037…
FAB 2025-02 — ERISA’s Annual Funding Notice Requirements Following SECURE 2.0 ERISADOL Field Assistance BulletinsApr 30, 2025related by meaning
single-employer plan continue to rely on the model notice found in Appendix A of 29 CFR 2520.101-5 for notice years beginning after December 31, 2023? No. The model notice in Appendix A of 29 CFR 2520.101-5 no longer complies with section 101(f) of ERISA, as amended. However, a plan administrator of a single-employer p…
85 FR 2292 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2020 ERISAFinal Rules (FR)Jan 15, 2020
…
January 2, 2018 levels.
After November 2, 2015
After January 23, 2019 but on or before January 15, 2020
January 23, 2019 levels.
After November 2, 2015
After January 15, 2020
January 15, 2020 levels.
Civil Monetary Penalties for Other DOL Programs
Violations occurring
Penalty assessed
Which penalty level applies
On or…
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026★ strong match
…llows plan administrators of pension benefit plans to furnish certain required disclosures using a “notice-and-access” model: these plan administrators must notify plan participants and beneficiaries about the online disclosures, provide information on how to access the disclosures, and inform participants and benefici…
88 FR 75979 — Proposed Amendment to Prohibited Transaction Exemption 2020-02 ERISAProposed Rules (FR)Proposed Nov 3, 2023★ strong match
… provide important protections to Retirement Investors by enhancing the existing protections of PTE 2020-02. Effective Date
PTE 2020-02 was originally published on December 18, 2020, and it became effective on February 16, 2021. The Department proposes that the amendment to PTE 2020-02 will be effective on the date tha…
88 FR 54511 — Request for Information-SECURE 2.0 Reporting and Disclosure ERISAProposed Rules (FR)Proposed Aug 11, 2023★ strong match
…ded, and whether there are other standards that should apply to the required one-time initial paper notice that must be furnished for compliance with 29 CFR 2520.104b-1(c), the 2002 safe harbor? For example, should the 2002 safe harbor be modified or updated to include an initial paper notice that resembles the initial…
ERISAFinal Rules (FR)Feb 24, 2023★ strong match
…Citation
22. Employee Benefits Security Administration, Private Pension Plan Bulletin, Abstract of 2020 Form 5500 Annual Report (2020). The 2020 Form 5500 data set is the most recent available because Form 5500 filings for the 2020 reporting year generally are not required to be filed for calendar year plans until Jul…
76 FR 19285 — Request for Information Regarding Electronic Disclosure by Employee Benefit Plans ERISAProposed Rules (FR)Proposed Apr 7, 2011related by meaning
ated to ensure that the method for providing the section 204(h) notice results in actual receipt of the notice. In addition, the
( printed page 19287) plan administrator must provide the applicable individual with a clear and conspicuous statement that the individual has a right to receive a paper version of the sectio…
75 FR 8796 — Civil Penalties Under ERISA Section 502(c)(8) ERISAFinal Rules (FR)Feb 26, 2010related by meaning
…D)(iii) of ERISA, the Department of Labor issued proposed 29 CFR 2540.305-1, which includes a model notice for plans in critical status. See 73 FR 15688 (Mar. 25, 2008). However, section 102(b)(1)(C) of the Worker, Retiree, and Employer Recovery Act of 2008, Public Law 110-458, signed into law on December 23, 2008, tra…
86 FR 57272 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAProposed Rules (FR)Proposed Oct 14, 2021★ strong match
…o Proxy Voting Advice,84 FR 47416 (Sept. 10, 2019) (“2019 Interpretation and Guidance”). In July of 2020, The SEC adopted amendments to 17 CFR 240.14a-1(l), 240.14a-2(b), and 240. 14a-9 (Rules 14a-1(l), 14a-2(b), and 14a-9) concerning proxy voting advice.
See Exemptions from the Proxy Rules for Proxy Voting Advice,85 F…
ERISARegulationsJul 27, 2020related by meaning
(l) (l) Dates; severability.
(l)(1) (1) This section is applicable July 27, 2020.
(l)(2) (2) If any provision of this section is held to be invalid or unenforceable by its terms, or as applied to any person or circumstance, or stayed pending further agency action, the provision shall be construed so as to continue to g…
89 FR 32346 — Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAFinal Rules (FR)Apr 25, 2024
ow reliant on PTE 2020-02, refer to the discussion of the amendments to PTE 2020-02 and PTE 84-24 published in this issue of today'
Federal Register
. In the proposal, the Department received several comments that the Mass Amendments would be costly and disruptive. Some of the commenters expressed concern that the exem…
88 FR 76004 — Proposed Amendment to Prohibited Transaction Exemption 84-24 ERISAProposed Rules (FR)Proposed Nov 3, 2023
… and annuity contracts and the purchase and sale of securities issued by an investment company.
PTE 2020-02
When the Department finalized PTE 2020-02 in December 2020, the Department explained that insurance companies could rely on either PTE 2020-02 or PTE 84-24 regardless of whether they sell their products through c…