85 FR 82798 — Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees ERISAFinal Rules (FR)Dec 18, 2020★ strong match
rvey,
supra
note 155.
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163.
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…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
… the interests of Retirement Investors.
Rollover Disclosure The Department has also decided to make revisions to the rollover disclosure requirements. Under Section II(b)(5), before engaging in or recommending that a Retirement Investor engage in a rollover from a Plan that is covered by Title I of ERISA, or making a r…
89 FR 32122 — Retirement Security Rule: Definition of an Investment Advice Fiduciary ERISAFinal Rules (FR)Apr 25, 2024★ strong match
istance Bulletin 2018-02, Temporary Enforcement Policy on Prohibited Transactions Rules Applicable to Investment Advice Fiduciaries (FAB 2018-02).[55] FAB 2018-02 announced that, pending further guidance, the Department would not pursue prohibited transaction claims against fiduciaries who were working diligently and i…
85 FR 40834 — Improving Investment Advice for Workers & Retirees ERISAProposed Rules (FR)Proposed Jul 7, 2020
…anagement Compliance Testing Survey,
supra
note 79.
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87.
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-…
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 …
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.
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54.
84 FR 33318 (July 12, 2019).
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55.
84 FR 33669 (July 12, 2019).
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56.
Form CRS Relationship Summary; Amendments to Form ADV, 84 FR 33492 (July 12, 2019).
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57.
Regulation Best Interest release, …
86 FR 57272 — Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights ERISAProposed Rules (FR)Proposed Oct 14, 2021★ strong match
… before its full applicability. Consequently, the Department concludes serious reliance on the 2020 rule is unlikely, and certainly would not overwhelm the Department's good reasons for this change.
C. Request for Public Comments
The Department invites comments from interested persons on all facets of the proposed rule…
89 FR 34106 — Definition of “Employer”-Association Health Plans ERISAFinal Rules (FR)Apr 30, 2024
…n.[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 respect to future action, if any, taken on the…
85 FR 81658 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAFinal Rules (FR)Dec 16, 2020
…FR 47420 (Sept. 10, 2019) (2019 SEC Guidance).
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22.
See
Exemptions from the Proxy Rules for Proxy Voting Advice, 85 FR 55082 (Sept. 3, 2020) (2020 SEC Proxy Voting Advice Amendments).
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23.
See
Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Adv…
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
… are in the retirement investor's best interest; (v) and conduct an annual retrospective compliance review.
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4.
PTE 84-24 covers transactions with independent insurance agents, and requires them to comply with conditions similar to the amended PTE 2020-02.
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5.
85 FR 72846 — Financial Factors in Selecting Plan Investments ERISAFinal Rules (FR)Nov 13, 2020★ strong match
t: Record Flows and Strong Fund Performance in 2019
(Feb. 14, 2020),
www.morningstar.com/lp/sustainable-funds-landscape-report.
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70. See Schanzenbach & Sitkoff, supra note 5, at 389-90 (distinguishing between “collateral benefits ESG” investing—defined as “ESG investing for moral or ethical reasons o…
88 FR 75979 — Proposed Amendment to Prohibited Transaction Exemption 2020-02 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
Departments' PRA analysis in the same way they send comments in response to the proposed rule as a whole (for example, through the
www.regulations.gov website), including as part of a comment responding to the broader proposed rule. Comments are due by January 2, 2024 to ensure their consideration.
PRA Addressee:
Addre…
85 FR 31884 — Default Electronic Disclosure by Employee Pension Benefit Plans Under ERISA ERISAFinal Rules (FR)May 27, 2020
…nsus Bureau, County Business Patterns by Employment Size Class, 2010-2016.
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134.
Cerulli,
supra
note 128.
Back to Citation
135.
2019 Defined Contribution Benchmarking Survey Report,
Deloitte, 2019.
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136.
2019 Defined Contribution Benchmarking Survey Report,
Deloitte, 2019, at 20. (I…
91 FR 13503 — Retirement Security Rule: Definition of an Investment Advice Fiduciary: Notice of Court Vacatur ERISAFinal Rules (FR)Mar 20, 2026related by meaning
…RIN 1210-AC36
AGENCY:
Employee Benefits Security Administration, Department of Labor.
ACTION:
Final rule; technical amendment.
SUMMARY:
This document implements the judicial vacatur of the Department's 2024 final rule defining who is a “fiduciary” under the Employee Retirement Income Security Act of 1974. This document…
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.
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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…
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
…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
…
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…
84 FR 37508 — Definition of “Employer” Under Section 3(5) of ERISA-Association Retirement Plans and Other Multiple-Employer Plans ERISAFinal Rules (FR)Jul 31, 2019
…intained by PEOs).
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10. The SECURE Act had originally been introduced on March 22, 2019 on a bipartisan basis by House Ways and Means Chairman Richard Neal (D-MA), Ranking Member Kevin Brady (R-TX), Rep. Mike Kelly (R-PA) and Rep. Ron Kind (D-WI). The SECURE Act contains the MEP provisions found in S. …
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.
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38.
2019 ESG Survey,
Callan Institute (2019),
www.callan.com/wp-content/uploads/2019/09/2019-ESG-Survey.pdf.
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39.
DOL calculations are based on statistics from
Private Pension Plan Bulletin: Abstract of…
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
Disclosures Electronically.
Type of Review:
Revision of currently approved collection of information.
OMB Control Number:
1210-0121.
Affected Public: Individuals or households; Business or other for-profit; Not-for-profit institutions.
Respondents:
833,328.
Responses:
59,688,464.
Estimated Total Burden Hours:
1,270,34…