ERISACourt RulingsFeb 22, 2000
…he matter,
and conclude that he did deposit the check in the said mailbox on
Thursday, December 31, 1999, at on or about 4:30 p.m.; that it was
not picked-up on that date, and that, due to the intervening New
Year' s holiday on Friday, January 1, 1999, and the weekend of
January 2 and 3, 1999, the pick-up was not made …
81 FR 47534 — Proposed Revision of Annual Information Return/Reports ERISAProposed Rules (FR)Proposed Jul 21, 2016
…bility for Immediate Gain Methods.
Complete this line only if you use an immediate gain method (see Rev. Rul. 81-213, 1981-2 C.B. 101, for a definition of immediate gain method).
Lines 1c(2)(a), (b), and (c). Information for Plans Using Spread Gain Methods.
Complete these lines only if you use a spread gain method (see…
81 FR 21089 — Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs ERISAFinal Rules (FR)Apr 8, 2016related by meaning
ublic Arbitrator” is defined in FINRA rule 12100(u). According to FINRA, non-“Public Arbitrators” are often referred to as “industry” arbitrators.
See Final Report and Recommendations of the FINRA Dispute Resolution Task Force, released December 16, 2015.
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44.
SEC Release No. 34-31371 (Oct. 28, 1992), …
ERISAFinal Rules (FR)May 17, 2024★ strong match
…CA would be tax-deferred, similar to the treatment of fully paid individual annuity contracts under Rev. Rul. 2011-7, until amounts are actually paid to the participant or beneficiary. Contemporaneous with the publication of Rev. Rul. 2020-23, the IRS published Notice 2020-80, 2020-47 IRB 1060
requesting comments on th…
76 FR 66136 — Investment Advice-Participants and Beneficiaries ERISAFinal Rules (FR)Oct 25, 2011related by meaning
… 17, 1978), 5 U.S.C. App. 1, 92 Stat. 3790, the authority of the Secretary of the Treasury to issue rulings under section 4975 of the Code has been transferred, with certain exceptions not here relevant, to the Secretary of Labor. Therefore, the references in this notice to specific sections of ERISA should be taken as…
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
ust Company,
749 F.3d 671 (7th Cir. 2014).
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33.
See
Regulatory Impact Analysis, available at
www.dol.gov/ebsa.
Back to Citation
34. The alternative approaches are discussed in greater detail in the preamble to the Best Interest Contract Exemption, finalized elsewhere in this issue of the
Federal Reg…
ERISACourt RulingsOct 14, 1999
…/ Case Number Searches
DMS Search
Case Status
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…
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, …
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
…ved the reference to “spouse” in Section III(c) because the
( printed page 43680)
exclusive benefit rule in Code section 408(a) does not separately reference a spouse.
E. Discussion of Comments
90 FR 28004 — Removal of Interpretive Bulletins Relating to the Employee Retirement Income Security Act of 1974 ERISAFinal Rules (FR)Jul 1, 2025★ strong match
977) (“The attention of interested parties is directed to the fact that regulation 2550.408c-2 replaces Interpretive Bulletin 75-6”).
Back to Citation 7.
41 FR 3289 (Jan. 22, 1976).
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8.
43 FR 47713 (Oct. 17, 1978). Congress subsequently ratified Reorganization Plan No. 4 in 1984. See Sec. 1, Public La…
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.
81 FR 44784 — Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs; Correction ERISAFinal Rules (FR)Jul 11, 2016related by meaning
… forth in this document will not alter the analysis and data contained in the RIA applicable to the rulemaking nor alter the assessment of its costs and benefits. The Department's complete RIA is available at
https://www.dol.gov/ebsa/pdf/conflict-of-interest-ria.pdf.
Paperwork Reduction Act Statement
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, …
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, …
85 FR 40589 — Conflict of Interest Rule-Retirement Investment Advice: Notice of Court Vacatur ERISAFinal Rules (FR)Jul 7, 2020related by meaning
…
RIN 1210-AB96
AGENCY:
Employee Benefits Security Administration, Department of Labor
ACTION:
Final rule; technical amendment.
SUMMARY:
This document implements the vacatur of the Department's 2016 final rule defining who is a “fiduciary” under the Employee Retirement Income Security Act of 1974. This document also ref…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024★ strong match
…agency manifests an intent for the entire package to rise or fall together. This is true for agency rules in general . . . .”).
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257.
Encino Motorcars, LLC
v.
Navarro,
579 U.S. 211, 221 (2016);
FCC
v.
Fox Television Stations, Inc.,
556 U.S. 502, 515 (2009).
Back to Citation
258.
Fox,
556 U.S. at 515…
ERISARegulationsJan 1, 2017related by meaning
[Reserved]
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…
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
…13(g) governs “Standard of Conduct” and subsection (1) provides that “The Commission may promulgate rules to provide that the standard of conduct for all brokers, dealers, and investment advisers, when providing personalized investment advice about securities to retail customers (and such other customers as the Commiss…
ERISACourt RulingsJun 26, 2013
…es, LTD , 2005 - RIS -
00115 (ALJ, Oct. 19, 2006); U.S. Dep’t of Labor, PWBA v. Compgraphix, Inc. , 1999 - RIS - 53 (A LJ, Oct. 14, 1999).
46
U.S. Dep’t of Labor, EBSA v. Dutch American Import Co. , 2009 - RIS - 14, slip op. at 9 (ALJ, Jan. 6, 2010); see also
U.S. Dep’t of Labor, EBSA v. P.E.C. Contracting Engineers , …