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
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the following:
the agency or agencies that issued and signed a document
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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
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Document headings vary by document type but may contain
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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…
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.…
81 FR 21139 — Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Employee Be… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
ohibited transaction exemption, analyzing the economic impact of the proposals, and developing the revised paperwork burden analysis summarized below. In connection with publication of this final amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of…
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
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…
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…
80 FR 22021 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit P… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
minimized, collection instruments are clearly understood, and the Department can properly assess the impact of collection requirements on respondents. Currently, the Department is soliciting comments concerning the proposed information collection request (ICR) included in the Proposed Amendment to and Proposed Partial …
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
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…
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
…plicable policies in those guidelines.
J. Review Under Additional Executive Orders and Presidential Memoranda
DOL has examined this rescission and has determined that it is consistent with the policies and directives outlined in E.O. 14154, “Unleashing American Energy,” E.O. 14192, “Unleashing Prosperity Through Deregu…
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).
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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…
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…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related 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…
78 FR 13797 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements ERISAFinal Rules (FR)Mar 1, 2013related by meaning
ministration and other fiduciary activities, and not to communications made or documents prepared to aid the fiduciary personally or for settlor acts. See Solis
v.
The Food Employers Labor Relations Ass'n,
644 F.3d 221 (4th Cir. 2011). This provision should not be
( printed page 13802)
interpreted as excluding consider…
ERISAProposed Rules (FR)Proposed Oct 22, 2010
…b-2(a)(11)(A)-(G).
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14.
SEC v.
Capital Gains Research Bureau, Inc.,
375 U.S. 180 (1963).
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15.
SEC Advisers Act Rel. No. 1393 (Nov. 29, 1993).
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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…
75 FR 53172 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans ERISAProposed Rules (FR)Proposed Aug 30, 2010related by meaning
he same investment manager, and the execution of certain foreign exchange transactions between a plan and a bank or broker-dealer.
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3. Additional information concerning the requirements for obtaining administrative relief under PTE 96-62 (as amended) may be obtained by accessing the complete text of th…
82 FR 7336 — Proposed Best Interest Contract Exemption for Insurance Intermediaries ERISAProposed Rules (FR)Proposed Jan 19, 2017
…i-go-partner?t=diversity-market.
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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).
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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…
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.
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127.
13 CFR 121.201 (2011).
Back to Citation
128.
15 U.S.C. 631
et seq.
(2011).
Back to Citation
129.