ERISACourt RulingsFeb 22, 2000
5 and 1996 to PWBA for review and
comment.
(e) By December 31, 1998, send finalized
versions of the 1995 and 1995 summary draft Annual Reports for the Plan participants.
(f) By December 31, 1998, pay a compromised
penalty payment of $15,000.00 to the Department.
On October 16, 1998, Respondent submitted the
draft Form …
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
tion.
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14.
67 FR 64137 (October 17, 2002).
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15.
See
Advisory Opinion 2011-08A (June 21, 2011).
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16. As noted above, for purposes of this amendment, the terms “Individual Retirement Account” or “IRA” mean any account or annuity described in Code section 4975(e)(1)(B) t…
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
he Applicability Date. For the avoidance of doubt, no revocation will be applicable prior to the Applicability Date.
Paperwork Reduction Act Statement In accordance with the requirements of the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3506(c)(2)), the Department solicited comments on the information collections…
81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016
…expense
2i [Current 2i with new breakouts as indicated]
Administrative expenses:
(1)
[New Breakout (1998 Line 32g(1)]
Salaries and allowances
(2)
[Current 2i(2)]
Contract administrator fees
(3)
[Current 2i(3)]
Investment advisory and management fees
(4)
[New Breakout]
IQPA Audit fees
(5)
[New based on 1998 Line 32g(2)]…
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
…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…
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016
…ng maximum penalty amount.
See
Immigration Act of 1990, Pub. L. 101-649, 205(3) (Nov. 29, 1990). In 1998, Congress amended the INA by, in part, providing for additional civil money penalties in the H-1B program, as discussed below.
See
American Competitiveness and Workforce Improvement Act of 1998 (ACWIA), Div. C, Titl…
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).
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32.
NAIC Model Regulation at section 5.I.
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33. NAIC Model Regulation at section 5.B.
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34.
NAIC Model Regulation at section 5.J.
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35.
See Staff Bulletin: Standards of Conduct for Bro…
ERISACode / StatuteJan 6, 2025
(j) (j) Financial obligation for fiscal year 1998 The financial obligation for the Department of Labor for fiscal year 1998 shall not exceed the lesser of— The private sector organization described in subsection (b) and contracted with by the Secretary shall be obligated for the balance of the cost of the National Summ…
ERISARegulationsAug 12, 2025
… assets are plan assets) with the care, skill, prudence and diligence under the circumstances then prevailing that a prudent man acting in a like capacity and familiar with such matters would use in the conduct of an enterprise of a like character and with like aims, taking into account all obligations supported by suc…
81 FR 20946 — Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice ERISAFinal Rules (FR)Apr 8, 2016★ strong match
…-1, Parts II-V; PTE 77-4; PTE 80-83; PTE 83-1: PTE 84-24; and PTE 86-128.
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54.
The revoked exemptions include PTE 75-1, Parts I(b) and (c); PTE 75-1, Part II(2); and parts of PTE 84-2 and PTE 86-128.
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55.
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 RulingsOct 14, 1999
…nt. (CX.2).
[Page 3] 6. PWBA issued a "ten day" notice letter to
Comgraphix on or about October 21, 1998, requesting submission of
the missing 1996 IQPA report for Plan 001. (CX. 3).
7. Comgraphix responded by letter dated
November 10, 1998, stating that Plan 001 was terminated, the
business suspended its operations an…
ERISACourt RulingsJan 20, 1998
…er Searches
DMS Search
Case Status
DOL Home > OALJ > ERISA > USDOL v. Smith, 91-RIS-1 (ALJ Jan. 20,
1998)
USDOL/OALJ Reporter
USDOL v. Smith, 91-RIS-1 (ALJ Jan. 20,
1998)
Date Issued: JAN 20 1998
OALJ Case No: 91-RIS-1
PWBA Case No.: 71-06591
In the Matter of:
U.S. DEPARTMENT OF LABOR
PENSION AND WELFARE BENEFITS
ADMIN…
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…
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024related by meaning
arties from the financial services industry and their attorney representatives, as well as independent fiduciaries and appraisers.
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9. The Department's RIA that is included in this Final Amendment was informed by comments that the Department received in response to its notice and comment solicitation i…
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…
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…
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
… the Treasury to grant administrative exemptions under Code section 4975 to the Secretary of Labor. Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications were amended effective April 8, 2024 (29 CFR part 2570, subpart B (89 FR 4662 (January 24, 2024)).
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43.
The…
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026
…efits Security Administration, Department of Labor.
Title:
National Medical Support Notice.
Type of Review:
Revision.
OMB Control Number:
1210-0113.
Affected Public:
Businesses or other for-profits, Not-for-profit institutions.
Respondents:
399,269.
Responses:
5,645,697.
Estimated Total Burden Hours:
896,142.
Estimated…