81 FR 21147 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Co… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
53.
FINRA Regulatory Notice 12-25, p. 3 (2012).
Back to Citation
54.
Donovan
v.
Mazzola,
716 F.2d 1226, 1232 (9th Cir. 1983).
Back to Citation
55. One commenter requested an adjustment to the “prudence” component of the Best Interest standard, under which the standard would be that of a “prudent person serving cli…
81 FR 21181 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit Plans and Broker-De… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
36.
FINRA Regulatory Notice 12-25, p. 3 (2012).
Back to Citation
37.
Donovan
v.
Mazzola,
716 F.2d 1226, 1232 (9th Cir. 1983).
Back to Citation
38. One commenter requested an adjustment to the “prudence” component of the Best Interest Standard, under which the standard would be that of a “prudent person serving cli…
ERISACourt RulingsAug 25, 1995
…e penalty on various legal grounds. The cases
were consolidated on December 8, 1993. On December 8, 1994 a
hearing of these consolidated cases was held in Dallas, Texas.
Both parties have submitted proposed Findings of Fact and a
Proposed Decision and Order.
Pursuant to my order of August 17, 1994, PWBA, Taggart and
AM…
ERISACourt RulingsMar 29, 1995
ovide reasonable
cause for not timely correcting an IQPA report. Thereafter, on June
17, 1994, Respondent filed an answer with this office pursuant to 29 C.F.R. § 2570.61(c). On July 14, 1994, I issued a Notice of
Docketing which required the parties to file various information
relative to this matter. Responses to the…
ERISACourt RulingsFeb 22, 2000★ strong match
…Form 5500 C/Rs, participant
account statements and summary Annual reports were timely submitted
for review by the Department, but that errors were discovered that
prevented submission of the finalized Plan reports.
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
(2), (3); 29 U.S.C. 1108(a)(2), (3); Code section 4975(c)(2)(B), (C).
Back to Citation
32.
NAIC Model Regulation at section 5.I.
Back to Citation
33. NAIC Model Regulation at section 5.B.
Back to Citation
34.
NAIC Model Regulation at section 5.J.
Back to Citation
35.
See Staff Bulletin: Standards of Conduct for Bro…
88 FR 76032 — Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
, including as part of a comment responding to the broader proposal. Comments are due by January 2, 2024 to ensure their consideration.
PRA Addressee: Address requests for copies of the ICR to James Butikofer, Office of Research and Analysis, U.S. Department of Labor, Employee Benefits Security Administration, 200 Cons…
ERISACourt RulingsJan 20, 1998
ng filings required in the
Prehearing Order Number One were due on September 30, 1994,
2) the hearing would be rescheduled for the week of October 31, 1994, and 3) interim reports were to be filed with this Office
every two weeks detailing the status of the settlement
negotiations.
Complainant complied with all applica…
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
as well.
Back to Citation
52.
Section I(k) of the Proposed Amendment has been renumbered in the Final Amendment as Section I(j).
Back to Citation
53. The Department additionally clarifies that the certification of the independent audit would come at some point after an individual exemption is granted and the One-Year…
ERISACourt RulingsJun 26, 2013
record when reviewing EBSA’s penalty determinations.
33
A
de novo review “includes taking into consideration mitigating circumstances and events that transpired after the Statement of Reasonable Cause was issued,”
34
as well as any additional
evidence t he parties may present.
35
Nonetheless, an ALJ is bound by the go…
87 FR 73822 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAFinal Rules (FR)Dec 1, 2022★ strong match
…ec. 16, 2020).
Back to Citation
17.
29 U.S.C. 1104(a).
Back to Citation
18. 59 FR 32606 (June 23, 1994) (appeared in Code of Federal Regulations as 29 CFR 2509.94-1). Prior to issuing IB 94-1, the Department had issued a number of letters concerning a fiduciary's ability to consider the collateral effects of an inves…
ERISACourt RulingsDec 23, 1994
…s
DOL Home > OALJ > ERISA > 94ris41a.htm
USDOL/OALJ Reporter
94ris41a.htm
Date Issued: December 23, 1994
Case No.: 94-RIS-41
In the Matter of:
CONSOLIDATED PACKAGING
CORPORATION,
Respondent
Before: JOHN M. VITTONE
Deputy Chief Judge
DECISION AND ORDER
This case arises under the Employee Retirement Income
Security Act o…
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
… 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 the basis for making the delay effective more quickly than the 60-day period generally required by the CRA for major rules. This document corrects th…
85 FR 81658 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAFinal Rules (FR)Dec 16, 2020
…ack to Citation
16.
85 FR 55219 (Sept. 4, 2020).
Back to Citation
17.
See, e.g.,
Barbara Novick,
Revised and Extended Remarks at Harvard Roundtable on Corporate Governance Keynote Address “The Goldilocks Dilemma”
(Nov. 6, 2019),
91 FR 9213 — Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors ERISAProposed Rules (FR)Proposed Feb 25, 2026related by meaning
…n collections to the Office of Management and Budget (OMB) in accordance with 44 U.S.C. 3507(d) for review of its information collections. The Department and OMB are particularly interested in comments that:
Evaluate whether the collection of information is necessary for the proper performance of the functions of the a…
86 FR 57272 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAProposed Rules (FR)Proposed Oct 14, 2021★ strong match
59 FR 32606 (June 23, 1994) (appeared in Code of Federal Regulations as 29 CFR 2509.94-1). Prior to issuing IB 94-1, the Department had issued a number of letters concerning a fiduciary's ability to consider the collateral effects of an investment and granted a variety of prohibited transaction exemptions to both indi…
85 FR 55219 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAProposed Rules (FR)Proposed Sep 4, 2020
…Sep. 27, 2011),
https://corpgov.law.harvard.edu/2011/09/27/future-of-institutional-share-voting-revisited-a-fourth-paradigm (“the current system for voting portfolio securities by application of uniform voting policies . . . is perceived as successfully addressing the commonly understood fiduciary duty of instituti…
81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016
nation demonstrations in the IRS determination letter process.
See
Rev. Proc. 2015-6, 2015-1 I.R.B. 198 and Announcement 2011-82, 2011-52 I.R.B. 1052. The IRS also added other IRS-only questions to the 2016 Forms 5500 and 5500-SF in order to address various compliance issues. Specifically, there are new questions as to…
88 FR 76004 — Proposed Amendment to Prohibited Transaction Exemption 84-24 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
v
website), including as part of a comment responding to the broader proposed rule. Comments are due by January 2, 2024 to ensure their consideration. PRA Addressee:
Address requests for copies of the ICR to James Butikofer, Office of Research and Analysis, U.S. Department of Labor, Employee Benefits Security Administr…
80 FR 22021 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit P… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
…sed information collection request (ICR) included in the Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit Plans and Broker-Dealers; Proposed Amendment to and Partial Revocation of PTE 75-1, Exemptions From Prohi…