ERISACourt RulingsFeb 22, 2000
ause that was the
date on which he was directed to prepare it. (T 95) He described
the process for its preparation, initialed it, and used Mr. Klein's stamp on it. He placed it into the envelope, put a stamp on it, and
took it to the mailbox at 4:30 p.m., addressed by him to the
Department of Labor. (T 95) A picture of…
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…
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★ strong match
mplying with the conditions of PTE 2020-02 when distributing annuities through independent agents, elsewhere in this edition of the
Federal Register
. On October 31, 2023, the Department released the proposed amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 described below and invited all interested persons to su…
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, 2024★ strong match
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 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
…principles of federalism and requires the adherence to specific criteria by Federal agencies in the process of their formulation and implementation of policies that have substantial direct effects on the States, the relationship between the national government and the States, or on the distribution of power and respons…
ERISACourt RulingsOct 14, 1999
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DOL Home > OALJ > ERISA > USDOL v. Compgraphix, Inc.,
1999-RIS-53 (ALJ Oct. 14, 1999)
USDOL/OALJ Reporter
USDOL v. Compgraphix, Inc.,
1999-RIS-53 (ALJ Oct. 14, 1999)
U.S. Department of Labor
Office of Administrative Law Judges
Heritage Plaza Bldg. - Suite 530
111 Veterans M…
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…
ERISAFinal Rules (FR)Feb 24, 2023
…ases in the cost of labor and service providers since MPR developed the initial data.
For this form revision, the DOL used the adjusted MPR unit cost data for pension and non-health welfare plans. The DOL developed the unit cost data for group health plans using the best available data. To develop unit costs for DFEs, …
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
…red accordingly. Additionally, within the definitions section, the following definitions are new or revised: Independent (Section VII(f)), plan (Section VII(j)), individual retirement account (Section VII(k)), Related Entity (Section VII(l)), Best Interest (Section VII(m)), and Commission (VII(n)).
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10.…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
… 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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[FR Doc.…
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 21208 — Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1 ERISAFinal Rules (FR)Apr 8, 2016related by meaning
…to PTE 2002-13, the Department explained that it had determined, after consulting with the Internal Revenue Service, that plans described in 4975(e)(1) of the Code are included within the scope of relief provided by PTEs 75-1 and 77-4, because they were issued jointly by the Department and the Service. For simplicity a…
ERISAProposed Rules (FR)Proposed Sep 15, 2021
…ses in the cost of labor and service providers since MPR developed the initial data.
For this forms revision, the DOL used the adjusted MPR unit cost data for pension and non-health welfare plans. The DOL developed the unit cost data for group health plans using the best available data. To develop unit costs for DFEs, …
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).
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54.
Donovan
v.
Mazzola,
716 F.2d 1226, 1232 (9th Cir. 1983).
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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…
ERISAProposed Rules (FR)Proposed Jul 21, 2016
…ses in the cost of labor and service providers since MPR developed the initial data.
For this forms revision, the DOL used the adjusted MPR unit cost data for pension and non-health welfare plans. The DOL developed the unit cost data for group health plans using the best available data. To develop unit costs for DFEs, …
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…
ERISACourt RulingsJun 9, 2000
… order to protect the pecuniary interests
of the people covered under these plans. 29 U.S.C. §
1001(1999).
As such, ERISA requires administrators of employee benefits plans to file an annual report for each employee
benefit plan covered including an IQPA for the plan year. 29 U.S.C.
§ 1023(1999). ERISA further requires…
76 FR 66637 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans ERISAFinal Rules (FR)Oct 27, 2011related by meaning
… of 1996 (5 U.S.C. 801
et seq.) and will be transmitted to Congress and the Comptroller General for review.
Unfunded Mandates Reform Act For purposes of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4), the final rule does not include any federal mandate that may result in expenditures by State, local, or triba…
81 FR 44773 — Best Interest Contract Exemption; Correction ERISAFinal Rules (FR)Jul 11, 2016related by meaning
(as defined in ERISA section 3(15)), member of family (as defined in Code section 4975(e)(6)) of, or partner in, the Adviser or Financial Institution. (3) The Financial Institution designates a person or persons, identified by name, title or function, responsible for addressing Material Conflicts of Interest and monito…
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…