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…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
…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 …
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 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 …
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…
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
notice must give participants and beneficiaries the opportunity to comment on the transactions and corrections to the applicable EBSA Regional Office. The Department proposed two key changes to the notice requirement for VFC Program applicants. First, the Department proposed that the notice could not be provided throug…
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…
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…
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…
87 FR 73822 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAFinal Rules (FR)Dec 1, 2022
…ct. However, many comments on the NPRM agreed with the Department's assessment of the impact of the 2020 rule, noting the 2020 rule created confusion on whether ERISA fiduciaries should incorporate ESG factors into their decision-making and that this confusion created a chilling effect. One comment states that the 2020…
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…
ERISADOL Technical ReleasesMay 8, 2013related by meaning
…ntribution may be excludable from income for Federal income tax purposes.
D. Timing and Delivery of Notice Employers are required to provide the notice to each new employee at the time of hiring beginning October 1, 2013. For 2014, the Department will consider a notice to be provided at the time of hiring if the notice…
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. …
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
…ng the notification is reasonably calculated to ensure that interested persons actually receive the notice. The Department has reviewed several notices to interested persons submitted to the applicable Regional Offices and found that some of them do not meet the applicable requirements of Section IV. To facilitate comp…
82 FR 57664 — 18-Month Extension of Transition Period and Delay of Applicability Dates; Best Interest Contract Exemption (PTE 2016-01); Class Exemption for Principal Transac… ERISAFinal Rules (FR)Dec 7, 2017related by meaning
ootnote also inadvertently includes the names of public commenters who do not support a contingent or tiered delay. This document corrects that error. In addition, there is text missing in the portion of the preamble that discusses the Congressional Review Act (CRA). The Department inadvertently omitted a discussion of…
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
ill also be available online at
https://www.regulations.gov,
at Docket ID number: EBSA-2022-0008 and
https://www.dol.gov/ebsa,
at no charge.
Warning: All comments received will be included in the public record without change and will be made available online at
https://www.regulations.gov,
including any personal infor…
ERISAFinal Rules (FR)May 18, 2023related by meaning
…the reasons for it. The Department is publishing the change of the operational date without advance notice or an opportunity for comment because it falls under the “good cause” exemption of the Administrative Procedure Act, 5 U.S.C. 553(b)(3)(B). Undertaking notice and comment procedures to incorporate the corrections …
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…
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…