85 FR 82798 — Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees ERISAFinal Rules (FR)Dec 18, 2020★ strong match
…
SEC Standards of Conduct Rulemaking: What It Means for RIAs,
Investment Adviser Association (July 2019), https://higherlogicdownload.s3.amazonaws.com/INVESTMENTADVISER/aa03843e-7981-46b2-aa49-c572f2ddb7e8/UploadedImages/resources/IAA-Staff-Analysis-Standards-of-Conduct-Rulemaking2.pdf.
Back to Citation
164.
Thi…
85 FR 40834 — Improving Investment Advice for Workers & Retirees ERISAProposed Rules (FR)Proposed Jul 7, 2020
…EC registered versus state only) and retail status (retail versus nonretail).
Back to Citation
86. 2019 Investment Management Compliance Testing Survey,
supra
note 79.
Back to Citation
87.
SEC Standards of Conduct Rulemaking: What It Means for RIAs,
Investment Adviser Association (July 2019),
https://higherlogicdown…
88 FR 75979 — Proposed Amendment to Prohibited Transaction Exemption 2020-02 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
… has provided an assessment of the proposal's potential costs, benefits, and transfers, and OMB has reviewed this proposed amendment pursuant to the Executive Order.
Paperwork Reduction Act
As part of its continuing effort to reduce paperwork and respondent burden, the Department conducts a preclearance consultation pr…
84 FR 213 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2019 ERISAFinal Rules (FR)Jan 23, 2019
…18
March 17, 2017 levels.
After November 2, 2015
After January 2, 2018 but on or before January 23, 2019
January 2, 2018 levels.
After November 2, 2015
After January 23, 2019
January 23, 2019 levels.
Civil Monetary Penalties for Other DOL Programs
Violations occurring
Penalty assessed
Which penalty level applies
On or …
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
…ec. 338, Pub. L. 117-328, 136 Stat. 5373, 5374 (Dec. 29, 2022).
2. Amend Section 2520.104b-1 by:
a. Revising paragraph (c)(1)(iii);
b. Revising paragraph (c)(1)(iv); and
c. Adding paragraph (c)(3).
The revision and additions read as follows:
§ 2520.104b-1
Disclosure.
* * * * *
(c) * * *
(1) * * *
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024★ strong match
A-IA-Report-Online.pdf.
Back to Citation
488.
Investment Adviser Association,
2019 Investment Management Compliance Testing Survey,
(June 18, 2019), https://higherlogicdownload.s3.amazonaws.com/INVESTMENTADVISER/aa03843e-7981-46b2-aa49-c572f2ddb7e8/UploadedImages/about/190618_IMCTS_slides_after_webcast_edit…
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023★ strong match
…ding the magistrate judge's report and recommendations.
Back to Citation
54.
84 FR 33318 (July 12, 2019).
Back to Citation
55.
84 FR 33669 (July 12, 2019).
Back to Citation
56.
Form CRS Relationship Summary; Amendments to Form ADV, 84 FR 33492 (July 12, 2019).
Back to Citation
57.
Regulation Best Interest release, …
82 FR 41365 — Extension of Transition Period and Delay of Applicability Dates; Best Interest Contract Exemption (PTE 2016-01); Class Exemption for Principal Transactions in … ERISAProposed Rules (FR)Proposed Aug 31, 2017★ strong match
…E 2016-01) would be amended as follows: A. The date “January 1, 2018” would be deleted and “July 1, 2019” inserted in its place in the introductory
DATES
section.
B.
Section II(h)(4)—Level Fee Fiduciaries
provides streamlined conditions for “Level Fee Fiduciaries.” The date “January 1, 2018” would be deleted and “July …
85 FR 40589 — Conflict of Interest Rule-Retirement Investment Advice: Notice of Court Vacatur ERISAFinal Rules (FR)Jul 7, 2020related by meaning
Document Headings
Document headings vary by document type but may contain
the following:
the agency or agencies that issued and signed a document
the number of the CFR title and the number of each part
the document amends, proposes to amend, or is directly
related to
the agency docket number / agency internal file numb…
89 FR 34106 — Definition of “Employer”-Association Health Plans ERISAFinal Rules (FR)Apr 30, 2024
…vel of success for AHPs absent the rescission.[123] That the Department has deliberately decided to proceed with the rescission of the 2018 AHP Rule, while reserving judgment on the 2019 ARP Rule, is neither probative nor suggestive of an arbitrary and capricious process either in the case of this final rule or with re…
85 FR 81658 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAFinal Rules (FR)Dec 16, 2020
… Trends on E&S Issues from 2000 to 2018,
Harvard Law School Forum on Corporate Governance (Jan. 31, 2019),
https://corpgov.law.harvard.edu/2019/01/31/the-long-view-us-proxy-voting-trends-on-es-issues-from-2000-to-2018,
(2019 ISS Proxy Voting Trends).
Back to Citation
21.
See, e.g.,
Commission Guidance Regarding P…
86 FR 57272 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAProposed Rules (FR)Proposed Oct 14, 2021
…/files/2018%2007%20NEPC%20ESG%20Survey%20Results%20.pdf?t=1532123276859.
Back to Citation
69.
2019 ESG Survey,
Callan Institute (2019),
www.callan.com/wp-content/uploads/2019/09/2019-ESG-Survey.pdf.
Back to Citation
70.
DOL calculations are based on statistics from
Private Pension Plan Bulletin: Abstract of…
85 FR 39113 — Financial Factors in Selecting Plan Investments ERISAProposed Rules (FR)Proposed Jun 30, 2020
…/files/2018%2007%20NEPC%20ESG%20Survey%20Results%20.pdf?t=1532123276859.
Back to Citation
38.
2019 ESG Survey,
Callan Institute (2019),
www.callan.com/wp-content/uploads/2019/09/2019-ESG-Survey.pdf.
Back to Citation
39.
DOL calculations are based on statistics from
Private Pension Plan Bulletin: Abstract of…
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
…kius LLP).” 2. On page 56559, second column, add the following language to the end of Congressional Review Act discussion: “Although the CRA generally requires that major rules become effective no sooner than 60 days after Congress receives the required report, the CRA allows the issuing agency to make a rule effective…
85 FR 31884 — Default Electronic Disclosure by Employee Pension Benefit Plans Under ERISA ERISAFinal Rules (FR)May 27, 2020
…ment Size Class, 2010-2016.
Back to Citation
134.
Cerulli,
supra
note 128.
Back to Citation
135.
2019 Defined Contribution Benchmarking Survey Report,
Deloitte, 2019.
Back to Citation
136.
2019 Defined Contribution Benchmarking Survey Report,
Deloitte, 2019, at 20. (In 2015, 50 percent of plan sponsors reported to…
82 FR 56545 — 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)Nov 29, 2017★ strong match
ate “January 1, 2018” is deleted and “July 1, 2019” inserted in its place in the introductory
DATES
section.
B.
Section II(h)(4)—Level Fee Fiduciaries provides streamlined conditions for “Level Fee Fiduciaries.” The date “January 1, 2018” is deleted and “July 1, 2019” inserted in its place. Thus, for Level Fee Fiduciar…
ERISAFinal Rules (FR)May 18, 2023related by meaning
R 11793 published on February 24, 2023, in the
Federal Register
, has a stated effective date of April 25, 2023 (which means that the
Federal Register rule's operational date was also April 25, 2023). Therefore, based on the dates of House and Senate receipt, that stated CRA effective date is earlier than 60 days after…
85 FR 59132 — Pension Benefit Statements-Lifetime Income Illustrations ERISAFinal Rules (FR)Sep 18, 2020
Plan Sponsor Council of America (2019). This survey reported on the 2018 plan year experience of 608 defined contribution plans.
Back to Citation
47. The 112,681 and 550,148 figures are calculated by multiplying the number of all plans (662,829) by the percentage of plans providing lifetime income illustrations (17 p…
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
uded in the 2022 VFC Program proposed revisions. At the same time, the Department also submitted the ICR to OMB, in accordance with 44 U.S.C. 3507(d). The Department received comments that addressed the burden estimates used in the analysis of the 2022 VFC Program proposed revisions. The Department reviewed these publi…
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.
Back to Citation
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…