ERISACourt RulingsFeb 22, 2000
… October,
1986, and represented approximately 50% of the total assets of the
two Plans. On July 26, 1996, ChiRO informed the trustees of the two Plans that its retention of the Westmont Property constituted a
violation of § 404 (a) (1) (B) of ERISA.
PWBA also informed the Administrator that
there were violations for th…
ERISACourt RulingsOct 14, 1999
…ther stated that, at the time, Comgraphix had engaged the Lauterbach accounting firm to
perform the 1996 audit, but shortly thereafter, Ben Marmande, CFO
of Racom, told Comgraphix representatives that he had consulted
with an ERISA attorney and had been advised that, under the
circumstances, the annual report could be …
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
lan or other account established pursuant to this exemption or any duly authorized representative of such account holder.
D. Other Ministerial Changes The Department is also making a few ministerial changes to the exemption that will not substantively alter the conditions or relief provided under the exemption. Specifi…
81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016
…established well before the enactment of the Health Insurance Portability and Accountability Act of 1996, Public Law 104-191, 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 L…
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
the definition of a Fixed Rate Annuity Contract, and the revocation of the exemption as it applies to IRA purchases of investment company securities. The amendments and revocations affect participants and beneficiaries of plans, IRA owners, and certain fiduciaries and service providers of plans and IRAs.
DATES:
Issuanc…
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…
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.
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52.
Section I(k) of the Proposed Amendment has been renumbered in the Final Amendment as Section I(j).
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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…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
…blic/do/PRAMain. Find this particular information collection by selecting “Currently under 30-day Review—Open for Public Comments” or by using the search function.
As discussed in detail above, PTE 84-24, as amended, will exclude compensation received as a result of the provision of investment advice from the existin…
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
…rohibited transaction exemption, analyzing the economic impact of the proposals, and developing the revised paperwork burden analysis summarized below.
In connection with publication of this final amendment to and partial revocation of PTE 86-128 and this final amendment to and partial revocation of PTE 75-1, the Depar…
80 FR 22010 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and B… 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) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters as part …
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026
…le accounting for distinct statutory frameworks.
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22.
Public Law 104-191 (Aug. 21, 1996.
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23.
Public Law 104-204 (Sept. 26, 1996).
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24.
Public Law 110-343 (Oct. 3, 2008).
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25.
Public Law 104-204 (Sept. 26, 1996).
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26.
Public Law 105-27…
ERISACourt RulingsNov 8, 1996
…ormed this Office that it wishes to withdraw the request for
hearing and that it intends to pay the revised penalty of $3,000 to
DOL. Due to the failure of DOL to notify this Office of the revised
penalty against Respondent, this Office issued an Order dated
September 24, 1996. Therein, DOL was instructed to inform thi…
ERISACourt RulingsOct 16, 1996
…he Notice, Respondent was given an
opportunity to file a Statement of Reasonable Cause. On June 19,
1996, Respondent filed the aforesaid Statement. Subsequently, DOL
issued a Notice of Determination on Statement of Reasonable Cause
on July 8, 1996. Therein, DOL waived $5,500 of the original penalty
($6,050) in this mat…
91 FR 16088 — Fiduciary Duties in Selecting Designated Investment Alternatives ERISAProposed Rules (FR)Proposed Mar 31, 2026
…S. Dep't of Labor, Employee Benefits Security Admin., Information Letter to Eugene Ludwig (Mar. 21, 1996), available at https://www.dol.gov/agencies/ebsa/about-ebsa/our-activities/resource-center/information-letters/03-21-1996.
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12.
U.S. Dep't of Labor, Employee Benefits Security Admin., Advisor…
87 FR 45204 — Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) ERISAProposed Rules (FR)Proposed Jul 27, 2022related by meaning
… enter into a party in interest transaction with its plan but leaves the ultimate determination and review to a QPAM.
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37. Proposed Amendment to PTE 84-14, 68 FR 52419, 52423 (Sept. 3, 2003).
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38.
For purposes of these changes, the Department used March 1984 and December 2021 as the re…
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…
82 FR 16902 — Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice; Best Interest Contract Exemption (Prohibited Transaction Exemption … ERISAFinal Rules (FR)Apr 7, 2017related by meaning
…ally provided relief for certain transactions involving mutual fund principal underwriters that was revoked for transactions involving IRAs. The applicability date of that revocation is also delayed until January 1, 2018; accordingly, such transactions can continue until that time subject to the applicability of the Im…
ERISACourt RulingsJun 26, 1996
…earch
Case Status
DOL Home > OALJ > ERISA > USDOL v. M & B Mini-BLind Corp.,
96-RIS-9 (ALJ June 26, 1996)
USDOL/OALJ Reporter
USDOL v. M & B Mini-BLind Corp., 96-RIS-9 (ALJ
June 26, 1996)
U.S. Department of Labor
Office of Administrative Law Judges
800 K Street, NW
Washington, DC 20001-8002
Date: June 26, 1996
Case No.…
88 FR 9408 — Amendment and Restatement of Voluntary Fiduciary Correction Program ERISAProposed Rules (FR)Proposed Feb 14, 2023related by meaning
…ction 305 as it affects EPCRS that should be taken into account by the Department in making further revisions to the VFC Program and PTE 2002-51. Signed at Washington, DC, this 1st day of February, 2023.
Lisa M. Gomez,
Assistant Secretary, Employee Benefits Security Administration, Department of Labor.
Footnotes
1.
Un…
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
…riations Act, 2023, Public Law 117 328, 136 Stat. 4459 (2022).
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7.
As described in Rev. Proc. 2021-30, or any successor guidance).
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8.
The term pension plans include both defined contribution plans and defined benefit plans.
See
ERISA section 3(34) and 3(35).
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9.
As no…