89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
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Document headings vary by document type but may contain
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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…
87 FR 73822 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAFinal Rules (FR)Dec 1, 2022★ strong match
s reviewing investments annually × 2 hours × $129.74 per hour for a plan fiduciary) + (25,020 DC plans that use ESG × 1% of plans that have ties ×
1/3 of plans reviewing investments annually × 2 hours × $61.01 per hour for a clerical worker) = $506,029. This requirement has been eliminated in the finalized rule. 85 FR …
85 FR 82798 — Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees ERISAFinal Rules (FR)Dec 18, 2020related by meaning
…SA section 3(21)(A)(ii); Code section 4975(e)(3)(B).
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145.
Regulatory Planning and Review, 58 FR 51735 (Oct. 4, 1993).
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146.
Improving Regulation and Regulatory Review, 76 FR 3821 (Jan. 21, 2011).
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147.
91 FR 4348 — Improving Transparency Into Pharmacy Benefit Manager Fee Disclosure ERISAProposed Rules (FR)Proposed Jan 30, 2026
…ommittee on Finance,
Insulin: Examining the Factors Driving the Rising Cost of a Century Old Drug,
(2021),
https://www.finance.senate.gov/imo/media/doc/Insulin%20Committee%20Print.pdf.
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235.
Van Nuys K, Ribero R, Ryan M, Sood N. Estimation of the Share of Net Expenditures on Insulin Captured by US …
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024★ strong match
… America (TIAA) for $97 million, citing disclosure violations and failure to implement policies and procedures.
See https://www.sec.gov/litigation/admin/2021/33-10954.pdf. While the SEC was able to settle, the Southern District of New York recently dismissed a complaint by plaintiffs in this same TIAA plan who argu…
91 FR 13503 — Retirement Security Rule: Definition of an Investment Advice Fiduciary: Notice of Court Vacatur ERISAFinal Rules (FR)Mar 20, 2026related by meaning
… it does not contain a collection of information as defined in 44 U.S.C. 3502(3).
The Congressional Review Act, 5 U.S.C. 801
et seq., generally provides that before certain actions may take effect, the agency promulgating the action must submit a report, which includes a copy of the action, to each House of the Congres…
ERISAFinal Rules (FR)Feb 24, 2023
…led employer plans (PEPs). On September 15, 2021, the Agencies published a notice of proposed forms revisions (NPFR) proposing amendments to the Form 5500 Annual Return/Report to implement annual reporting changes related to legislative provisions in the SECURE Act focused on MEPs and defined contribution group reporti…
90 FR 4192 — Voluntary Fiduciary Correction Program ERISAFinal Rules (FR)Jan 15, 2025★ strong match
… Notice 2023-43, once a plan or plan sponsor comes under examination (as defined in section 5.08 of Rev. Proc. 2021-30), an Eligible Inadvertent Participant Loan Failure is no longer eligible for self-correction under the IRS's EPCRS unless the plan sponsor has, before the plan or plan sponsor comes under examination, …
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024★ strong match
… Current and Future Affiliates and Subsidiaries, Application No. D-11955 (86 FR 64695, November 18, 2021).
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12.
87 FR 14725 (Mar. 15, 2022).
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13.
87 FR 14727 (Mar. 15, 2022).
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14.
Id.
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15.
See, e.g.,
PTE 2022-04 granted to the Children's Hospital of …
88 FR 75890 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAProposed Rules (FR)Proposed Nov 3, 2023
… America (TIAA) for $97 million, citing disclosure violations and failure to implement policies and procedures.
See https://www.sec.gov/litigation/admin/2021/33-10954.pdf.
While the SEC was able to settle, the Southern District of New York recently dismissed a complaint by plaintiffs in this same TIAA plan who argu…
88 FR 75979 — Proposed Amendment to Prohibited Transaction Exemption 2020-02 ERISAProposed Rules (FR)Proposed Nov 3, 2023★ strong match
requirements for PEPs and 3(44), which establishes requirements for PPPs.
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8.
85 FR 82798, 82819 (Dec. 18, 2020).
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9. ERISA section 408(g) and the regulations thereunder provide prohibited transaction relief for certain investment advice arrangements that use fee leveling or use comput…
89 FR 32346 — Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
nd in its text, PTE 2020-02 has been broadly amended to encompass compensation for advice irrespective of the product recommended.
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6. ERISA section 408(a) and Code section 4975(c)(2), expressly permit the Department (through the Reorganization Plan No. 4 of 1978) to grant “a conditional or uncondition…
86 FR 73976 — Revision of Annual Information Return/Reports ERISAFinal Rules (FR)Dec 29, 2021
…rt 2520
RIN 1210-AB97
AGENCY:
Employee Benefits Security Administration, Labor.
ACTION:
Final forms revisions.
SUMMARY: This document contains final revisions to the instructions for the Form 5500 Annual Return/Report of Employee Benefit Plan and Form 5500-SF Short Form Annual Return/Report of Small Employee Benefit Pl…
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…
86 FR 57272 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAProposed Rules (FR)Proposed Oct 14, 2021
…tment to consider publishing, by September 2021, for notice and comment a proposed rule to suspend, revise, or rescind “Financial Factors in Selecting Plan Investments,” 85 FR 72846 (Nov. 13, 2020), and “Fiduciary Duties Regarding Proxy Voting and Shareholder Rights,” 85 FR 81658 (Dec. 16, 2020).
2. The Department's Pr…
85 FR 40589 — Conflict of Interest Rule-Retirement Investment Advice: Notice of Court Vacatur ERISAFinal Rules (FR)Jul 7, 2020related by meaning
…e issued by the Fifth Circuit.
In addition, the Department finds that it has good cause to make the revisions immediately effective under section 553(d) of the Administrative Procedure Act, 5 U.S.C. 553(d). Section 553(d) provides that final rules shall not become effective until 30 days after publication in the
Federa…
ERISAProposed Rules (FR)Proposed Nov 21, 2022
ation
29.
Internal DOL calculation based on 2021 labor cost data. For a description of the Department's methodology for calculating labor rates, see: https://www.dol.gov/sites/dolgov/files/EBSA/laws-and-regulations/rules-and-regulations/technical-appendices/labor-cost-inputs-used-in-ebsa-opr-ria-and-pra-burden…
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…
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…
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
… Employee Benefits Security Administration, 200 Constitution Avenue NW, Room N-5718, Washington, DC 20210, or
ebsa.opr@dol.gov.
ICRs also are available at
https://www.RegInfo.gov
(
https://www.reginfo.gov/public/do/
PRAMain).
Amendments to PTE 75-1