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
t. Life Ins. Co.
v.
Harris Trust & Sav. Bank,
510 U.S. 86, 98 (1993).
Back to Citation
40.
See BancOklahoma Mortg. Corp.
v.
Capital Title Co., Inc., 194 F.3d 1089 (10th Cir. 1999) (stating that McCarran-Ferguson Act bars the application of a Federal statute only if (1) the Federal statute does not specifically relate…
ERISACourt RulingsNov 10, 2015
… of this matter” by
failing to comply with the regulations at 29 C.F.R. § 2560.502(c)(2)(e) - (f). (Memo in Support at
2 Respondent appears to be arguing that the May 20, 2015 letter s hould be considered the applicable Notice of Intent
to Assess a Penalty .
3
On September 11, 2015, this Office faxed counsel for Respon…
DOL Office of Administrative Law Judges — USDOL, EMPLOYEE BENEFITS SECURITY ADMINISTRATION v. PLAN ADMINISTRATOR, WHITE MOUNTAIN APACHE TRIBE RETIREMENT SAVINGS AND 401(K) PROFIT SHARING PLAN ANNUAL RE… ERISACourt RulingsNov 30, 2016
…uity under the PPA [Pension
Protection Act] must be construed by E BSA in favor of the Tribe.” WMAT Memo in Supp. at 10. Respondent‟s Cross-motion further requests the Court find WMAT is “not required to file an
IQPA report as part of its operational compliance requirements under the PPA transition rules
prior to the d…
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
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…
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
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 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
…requirement. 17 CFR 240.10b-5(b).
See also SEC
v.
Cap. Gains Rsch. Bureau, Inc.,
375 U.S. 180, 200 (1963) (“Failure to disclose material facts must be deemed fraud or deceit within its intended meaning”).
Back to Citation
38.
Id.
at 384-85.
But see Nat'l Ass'n for Fixed Annuities
v.
Perez,
217 F. Supp. 3d 1, 37 (D.D.…
90 FR 28004 — Removal of Interpretive Bulletins Relating to the Employee Retirement Income Security Act of 1974 ERISAFinal Rules (FR)Jul 1, 2025related by meaning
nity for timely input to potentially affected small governments before establishing any requirements that might significantly or uniquely affect them. DOL examined this rescission according to UMRA and its statement of policy and determined that the rescission does not contain a Federal intergovernmental mandate, nor i…
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
e use of the SCC and suggested that the Department should allow self-correctors to choose whether (a) to provide notice to interested persons (but
not to EBSA) or (b) make the plan contribution. After considering these comments, the Department has not made this change. Self-correctors have a streamlined procedure for s…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
$165.71)] ≉ $28,683,939.
Back to Citation
107.
5 U.S.C. 601
et seq.
Back to Citation
108.
5 U.S.C. 601(2), 603(a);
see5 U.S.C. 551.
Back to Citation 109.
Public Law 104-4, 109 Stat. 48 (Mar. 22, 1995).
Back to Citation
110.
See
“The Department's Role Related to the Sale of Insurance Products to Retirement Investor…
90 FR 28007 — Selection of Annuity Providers-Safe Harbor for Individual Account Plans ERISAFinal Rules (FR)Jul 1, 2025related by meaning
…plicable policies in those guidelines.
J. Review Under Additional Executive Orders and Presidential Memoranda
80 FR 22004 — Proposed Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Em… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
on, at 26 CFR 54.4975-9(c), which interprets Code section 4975(e)(3).
Back to Citation
6.
Advisory Opinion 76-65A (June 7, 1976).
Back to Citation
7. The Department initially proposed an amendment to its regulation under ERISA section 3(21)(A)(ii) and Code section 4975(e)(3)(B) on October 22, 2010, at 75 FR 65263. It…
ERISAProposed Rules (FR)Proposed Oct 22, 2010
…b-2(a)(11)(A)-(G).
Back to Citation
14.
SEC v.
Capital Gains Research Bureau, Inc.,
375 U.S. 180 (1963).
Back to Citation
15.
SEC Advisers Act Rel. No. 1393 (Nov. 29, 1993).
Back to Citation
16.
The Department notes that, because such a fiduciary would be a party in interest to the plan under section 3(14)(A) of ER…
81 FR 20946 — Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice ERISAFinal Rules (FR)Apr 8, 2016related by meaning
-21(d).
Back to Citation
48.
Reorganization Plan No. 4 of 1978 (5 U.S.C. App. (2000)).
Back to Citation
49.
Id. at section 102.
Back to Citation
50. Reorganization Plan, Message of the President.
Back to Citation
51.
See, e.g., Public Citizen
v.
Dep't of Health and Human Servs.,
332 F.3d 654, 668 (2003) (the ratif…
80 FR 22010 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and B… ERISAProposed Rules (FR)Proposed Apr 20, 2015related 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…
82 FR 7336 — Proposed Best Interest Contract Exemption for Insurance Intermediaries ERISAProposed Rules (FR)Proposed Jan 19, 2017
…i-go-partner?t=diversity-market.
Back to Citation
62.
See
Market Synergy Preliminary Injunction Memo filed June 17, 2016, in the United States District Court for the District of Kansas.
Back to Citation
63.
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026
… printing cost per notice is $0.20 ($0.05 × 4 pages = $0.20).
Back to Citation
88. Avalere Health,
Memo on Cost Savings Associated with Default E-Delivery for ERISA Health & Welfare Plan Disclosures
(Nov. 25, 2025),
https://www.eric.org/wp-content/uploads/2025/12/ERISA-E-Delivery-Economic-Model-Memo_FINAL.pdf.
B…
87 FR 45204 — Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) ERISAProposed Rules (FR)Proposed Jul 27, 2022related by meaning
r desires to enter into a party in interest transaction with its plan but leaves the ultimate determination and review to a QPAM.
Back to Citation
37. Proposed Amendment to PTE 84-14, 68 FR 52419, 52423 (Sept. 3, 2003).
Back to Citation
38.
For purposes of these changes, the Department used March 1984 and December 20…
85 FR 81658 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAFinal Rules (FR)Dec 16, 2020
…of Advocacy in making this determination, as required by 5 U.S.C. 603(c) and 13 CFR 121.903(c) in a memo dated June 4, 2020.
Back to Citation
127.
13 CFR 121.201 (2011).
Back to Citation
128.
15 U.S.C. 631
et seq.
(2011).
Back to Citation
129.
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
nd that the Department may request such information.
(4) Failure to maintain the required records necessary to determine whether
( printed page 76045) the conditions of this exemption have been met will result in the loss of the exemption only for the transaction or transactions for which records are missing or have no…
ERISACourt RulingsAug 17, 2026
…s. Eleven prospective vendors submitted proposals,
and Royal Caribbean’s outside counsel prepared a memorandum
to evaluate each one . Although the memorandum did not list Russell among the initial top four contenders, it noted that “Russell’s
strength is their expertise in providing consulting services and investment a…