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1. 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
   …e amendments as required by Executive Order 12866,[33] Executive Order 13563,[34] the Congressional Review Act,[35] the Paperwork Reduction Act of 1995,[36] the Regulatory Flexibility Act,[37] section 202 of the Unfunded Mandates Reform Act of 1995,[38] and Executive Order 13132.[39] 2. Executive Orders 12866 and 13563…
2. 78 FR 13781 — Filings Required of Multiple Employer Welfare Arrangements and Certain Other Related Entities
   ERISAFinal Rules (FR)Mar 1, 2013
   …hanges to the statutory provisions in part 7 of ERISA. Back to Citation 17.  In the preamble to the 2000 interim final rule, the Department explained “[a]n important reason for requiring these groups to file is that the administrator of a MEWA may incorrectly determine that it is a group health plan or that it is estab…
3. 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…
4. 81 FR 47534 — Proposed Revision of Annual Information Return/Reports
   ERISAProposed Rules (FR)Proposed Jul 21, 2016
   …e, then there will be no reportable deficiency and IRS Form 5330 will not need to be filed. Line 9. Revenue Procedure 2000-40, 2000-2 C.B. 357, providing for automatic approval for a change in funding method for a plan year, generally does not apply unless the plan administrator or an authorized representative of the p…
5. 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
   closure under the 2002 safe harbor will likely receive the existing advance statement on paper instead. See section II.B above. Back to Citation 39.   5 U.S.C. 601 et seq. Back to Citation 40.   5 U.S.C. 601(2), 603(a); also see 5 U.S.C. 551. Back to Citation 41.  Brown, S. Kathi. Retirement Account Statements: Paper o…
6. TR 2011-01 — Technical Release 2011-01
   ERISADOL Technical ReleasesMar 18, 2011
   …rance issuers that are not grandfathered health plans have an effective internal claims and appeals process. The statutory language provides further that plans, and issuers in the group market, shall provide an internal claims and appeals process that initially incorporates the procedures of 29 CFR 2560.503-1 (the 2000…
7. 81 FR 44773 — Best Interest Contract Exemption; Correction
   ERISAFinal Rules (FR)Jul 11, 2016★ strong match
   …ions issued by the Department related to reinsurance by captive insurance companies ( see e.g., PTE 2000-48, 65 FR 60452 (Oct. 11, 2000), PTE 2013-06, 78 FR 19323 (March 29, 2013), and PTE 2015-10, 80 FR 44765 (July 27, 2015)). Back to Citation [FR Doc. 2016-16355 Filed 7-7-16; 4:15 pm] BILLING CODE 4510-29-P
8. 91 FR 4348 — Improving Transparency Into Pharmacy Benefit Manager Fee Disclosure
   ERISAProposed Rules (FR)Proposed Jan 30, 2026
   …ted for only 16 percent of national prescription drug spending in 1970, increasing to 68 percent in 2000 and 86 percent in 2023, with out-of-pocket and other third-party payers and programs making up the balance.[153] Moreover, a survey of large employers reported that pharmacy costs are consuming an increasing share o…
9. DOL Office of Administrative Law Judges — USDOL, EBSA v. SCHNEIDERMAN'S FURNITURE, INC.
   ERISACourt RulingsMar 23, 2001
   …r Searches DMS Search Case Status DOL Home > OALJ > ERISA > PWBA v. Schneiderman's Furniture, Inc., 2000-RIS-40 (ALJ Mar. 23, 2001) USDOL/OALJ Reporter PWBA v. Schneiderman's Furniture, Inc., 2000-RIS-40 (ALJ Mar. 23, 2001) U.S. Department of Labor Office of Administrative Law Judges 800 K Street, NW, Suite 400-N Washi…
10. 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
    …ons of the Code” to instead refer to “Code section.” Executive Order 12866 (Regulatory Planning and Review), Executive Order 14094 (Modernizing Regulatory Review), and 13563 (Improving Regulation and Regulatory Review)
11. 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…
12. 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…
13. 82 FR 47409 — Claims Procedure for Plans Providing Disability Benefits; Extension of Applicability Date
    ERISAProposed Rules (FR)Proposed Oct 12, 2017
    public disclosure and that the data collection process is designed to ensure that no violations of antitrust or other federal or state laws occur.[16] It also would be helpful for the Department to receive data regarding the impact of the 2000 final claims and appeals regulation (2000 Final Rule). Commenters at the tim…
14. 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…
15. 29 C.F.R. § 2550.401c-1(j) — Definition of “plan assets”—insurance company general accounts.
    ERISARegulationsAug 12, 2025
    …al disclosures and paragraph (d) relating to separate account disclosures are applicable on July 5, 2000. (j)(3) (3) The first annual disclosure required under paragraph (c)(4) of this section shall be provided to each plan not later than 18 months following January 5, 2000. (j)(4) (4) Paragraph (f), relating to insure…
16. 81 FR 59581 — Savings Arrangements Established by State Political Subdivisions for Non-Governmental Employees
    ERISAProposed Rules (FR)Proposed Aug 30, 2016
    siness Retirement Savings Marketplace Act, Wash. Rev. Code §§ 43.330.730-750 (2015). Back to Citation 33.   Supra at footnote 25. Back to Citation 34.  According to 1980 Census, Alaska was the least populated state but in 2010, it followed Wyoming and Vermont as the third smallest state. Wyoming was the least populated…
17. 81 FR 92316 — Claims Procedure for Plans Providing Disability Benefits
    ERISAFinal Rules (FR)Dec 19, 2016
    …oving and strengthening the minimum requirements for employee benefit plan claims procedures.[2] As revised in 2000, the Section 503 Regulation provided new time frames and enhanced requirements for notices and disclosure with respect to decisions at both the initial claims decision stage and on review for group health…
18. 89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02
    ERISAFinal Rules (FR)Apr 25, 2024related by meaning
    …Reg BI Adopting Release”). (recognizing that “some broker-dealers may rely on existing policies and procedures that address conflicts through methods such as compliance and supervisory systems that are consistent with the Conflict of Interest Obligation” under Regulation Best Interest). Back to Citation 48.  See Rule 2…
19. 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…
20. Court of Appeals for the Ninth Circuit — Liu v. Kaiser Permanente Employees Pension Plan for the Permanente Medical Group, Inc.
    ERISACourt RulingsAug 31, 2026
    …plaint plausibly alleges that the decedent substantially complied with the Plan’s requirements , we reverse and remand for further proceedings. 1 I. A. As an employee of The Permanente Medical Group, Inc. since 2000, Ya - Xia was a member of the Service Employees International Union, Local 250, United Healthcare Worker…